Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

May 22, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5855/securities-industry-commentator/

Financial Reports and Policies (FINRA / May 20, 2021)

GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Two Jackson Men Charged in Multi-Million Dollar Fraud Scheme Conspiracy (DOJ Release)

Former CEO Of Real Estate Private Equity Investment Firm Pleads Guilty To $58 Million Securities Fraud (DOJ Release)

New York Couple Indicted for Romance Fraud Scam (DOJ Release)

SEC Charges Broker-Dealer with Order Execution Violations (SEC Release)

SEC Charges Partnership and Four Individuals in Connection with a Fraudulent Investment Offering (SEC Release)

FINRA Fines and Suspends Rep for Borrowing and False Statements

In the Matter of Levi William Johnson, Respondent (FINRA AWC)

FINRA Suspends for Former Spartan Securities Principal for Trading Supervision

In the Matter of David Daniel Lopez, Respondent (FINRA AWC)

The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks

(BrokeAndBroker.com Blog)

FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5854/securities-industry-commentator/

The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks (BrokeAndBroker.com Blog)

SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud (SEC Release)

In an Order Determining Whistleblower Award Claims (SEC Order)

FINRA Arbitrator Recommends Expungement of Customer Complaint by Non-Customer

In the Matter of the Arbitration Between Gordon David Wollman, Claimant v. Raymond James Financial Services, Respondent (FINRA Arbitration Award 20-02776)

FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5853/securities-industry-commentator/

Claimant alleged that Respondents allowed an unnamed party to use the Company as a conduit

In the Matter of the Arbitration Between Donna J. Wagner, Claimant, v. Brokers International Financial Services, LLC and Mark Christopher Perry, Respondents (FINRA Arbitration Award)

Human Resources Manager Pleads Guilty to Defrauding Employer Through Payroll and COVID-19 Testing Schemes (DOJ Release)

CEO of San Diego Startup Sentenced for Bilking more than $1.5 Million from his Company (DOJ Release)

CFTC Orders Connecticut Firm to Pay $500,000 for Wash Sales (CFTC Release)

Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead (FINRA Unscripted)

FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5852/securities-industry-commentator/

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index (SEC Release)

Statement on S&P Dow Jones Indices LLC by SEC Commissioner Hester M. Peirce

SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions (SEC Release)

SEC Charges Additional Unregistered Broker Who Sold $10.8 Million in 1 Global Securities to Investors (SEC Release)

Worcester Man Charged with Fraudulently Depositing U.S. Treasury Check Values at More Than One Million Dollars (DOJ Release)

FINRA Sanctions Firm and Principal Over Supervision

In the Matter of Bradley Woods & Co. Ltd and Daniel Ripp, Respondents (FINRA AWC)

FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5851/securities-industry-commentator/

FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)

Florida Man Sentenced for $1.3 Million Securities Fraud Scheme0 (DOJ Release)

Hudson County Man Sentenced to 27 Months in Prison for Role in Wire Fraud Scheme to Defraud Financial Institution Customers (DOJ Release)

Man Pleads Guilty to Million Dollar Investment Fraud Scheme (DOJ Release)

Federal Court Orders Virginia Resident to Pay More Than $5 Million for Futures and Options Fraud (CFTC Release)

Mind the (Data) Gaps (Speech by SEC Commissioner Caroline A. Crenshaw)

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