Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 19, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5903/securities-industry-commentator/

GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq (BrokeAndBroker.com Blog)

SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze (SEC Release)

Finra Sanctions Ex-LPL Broker Over 'Outside' Notary Biz (Advisor Hub by Miriam Rozen)

FINRA Fines and Suspends Rep for Pre-Signed, Blank LOAs

In the Matter of Dennis Domingo Cummings Perez, Respondent (FINRA AWC)

FINRA Bars Rep for Post-Mortem Customer Trade and False Testimony

In the Matter of Marc R. Lippman, Respondent (FINRA AWC)

FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)

If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't. (BrokeAndBroker.com Blog)

All Along the Watchtower FINRA Defends Against the Invading Notaries (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5902/securities-industry-commentator/

FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)

CFTC Charges Former Energy Broker and Its Owner with Misappropriation of Nonpublic Information, Fraud, and Supervision Violations (CFTC Release)

Las Vegas Woman Pleads Guilty To $10 Million Tech Support Fraud Scheme That Exploited The Elderly / Technical Support Scheme Deceived More Than 7,500 Victims Across the United States and Canada, Many of Whom Are Elderly, into Paying for Phony Computer Repair Services (DOJ Release)

San Francisco CEO Pleads Guilty To Swindling Banks And Investors Out Of More Than $3.5 Million / Defendant Falsified Financial Statements, Fabricated Accounts Receivables from Large Companies With Which He Did No Business, And Impersonated Corporate Representatives (DOJ Release)

If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't. (BrokeAndBroker.com Blog)

All Along the Watchtower FINRA Defends Against the Invading Notaries (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5901/securities-industry-commentator/

If You Didn't Know But Now Do. If You Hadn't Told FINRA But Did. If You Ask For A Stay But the SEC Doesn't. (BrokeAndBroker.com Blog)

The Nasdaq Stock Market LLC, et al., Petitioners, v. Securities and Exchange Commission, Respondent (Opinion, DCCir)

Six Charged in Silicon Valley Insider Trading Ring (SEC Release)

SEC Charges Additional Unregistered Brokers Who Sold Equialt Securities to Retail Investors (SEC Release)

SEC Charges Additional Defendants in $30 Million ICO Fraud (SEC Release)

Former Energy Broker Pleads Guilty to Insider Trading and Kickback Scheme (DOJ Release)

SEC Charges Issuer With Cybersecurity Disclosure Controls Failures (SEC Release)

SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors / Regulators Providing Free Training in Recognition of World Elder Abuse Awareness Day; Program Aims to Assist Firms in Implementing Requirements of Senior Safe Act (SEC Release)

FINRA Fines and Suspends Rep for Meals and Ride-Sharing

In the Matter of Michael Brent Bertino, Respondent (FINRA AWC)

All Along the Watchtower FINRA Defends Against the Invading Notaries

(BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5900/securities-industry-commentator/

All Along the Watchtower FINRA Defends Against the Invading Notaries (BrokeAndBroker.com Blog)

Order Determining Whistleblower Award Claim (SEC Order)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5899/securities-industry-commentator/

Federal Court Sanctions Australian Trader for Spoofing and Engaging in a Manipulative and Deceptive Scheme (CFTC Release)

St. Petersburg Man Indicted In Investment Scheme (DOJ Release)

SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds (SEC Release)

SEC Charges Microcap Company and Consultant with Fraudulent Statements Concerning Covid-19 Products (SEC Release)

SEC Charges Biotech Company and Executives in $10 Million Offering Fraud (SEC Release)

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