Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 23, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5649/securities-industry-commentator/

GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq (BrokeAndBroker.com Blog)

Allison Herren Lee Named Acting Chair of the SEC (SEC Release)

Statement on Designation of Commissioner Lee as Acting Chairman by SEC Commissioners Hester M. Peirce, Elad L. Roisman, and Caroline A. Crenshaw

CFTC Names Rostin Behnam Acting Chairman (CFTC Release)

SEC Charges CEO of Microcap Company with Fraud (SEC Release)

SEC Obtains Final Judgment Against Recidivist (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5648/securities-industry-commentator/

A Hard Rain Falls On A Shattered Nation (BrokeAndBroker.com Blog)

Negative Consent Morgan Stanley CARE Arbitration Program Sustained by Court (BrokeAndBroker.com Blog)

SEC Charges Former Investment Adviser for Making Unsuitable Investments, Misleading Clients, and Misappropriating Client Funds (SEC Release)

SEC Charges Father and Son Investment Advisers with Fraud (SEC Release)

SEC Charges California Resident with Fraudulent Free Riding Scheme (SEC Release)

FINRA Bars Rep for Endorsing Roomate's Check

In the Matter of Bryce R. Scarfone, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5647/securities-industry-commentator/

FINRA Fines and Suspends Rep for Taking or Not Giving A Crap (BrokeAndBroker.com Blog)

Silicon Valley Streaming Service Executive Indicted in Alleged "Pump and Dump" Stock Fraud Scheme (DOJ Release)

Indictment Charges Madison Man with Defrauding Investors of Alcoholic Beverage Company (DOJ Release)

In the Matter of WIRELINE, Inc. (SEC Order)

Concurrence in the Matter of Wireline, Inc. (Public Statement by SEC Commissioner Hester M. Peirce)

Permalink