Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

July 10, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5938/securities-industry-commentator/

GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Disbarred Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme (DOJ Release)

Cryptocurrency Fraudster Sentenced for Money Laundering and Securities Fraud in Multi-Million Dollar Investment Scheme (DOJ Release)

Odessa Businessman Sentenced to Federal Prison for Defrauding Family and Friends out of $18 Million (DOJ Release)

Georgia Man Sanctioned for Fraudulent Scheme Attempting to Profit from COVID-19 (CFTC Release)

Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication (BrokeAndBroker.com Blog)

FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs (BrokeAndBroker.com Blog)

Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5937/securities-industry-commentator/

Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication (BrokeAndBroker.com Blog)

SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures (SEC Release)

Court Enters Judgments Against Investment Adviser Firm and Owner for Undisclosed Compensation Practices (SEC Release)

Securities and Exchange Commission, Plaintiff, v. Westport Capital Markets, LLC and Christopher McClure, Defendants (Order Granting/Denying in Part Motion for Entry of Final Judgments)

Former CEO And COO Of JHL Biotech Charged With Conspiracy To Steal Trade Secrets And Commit Wire Fraud Exceeding $101 Million (DOJ Release)

Prepared Remarks Before the Asset Management Advisory Committee by SEC Chair Gary Gensler

Remarks at Asset Management Advisory Committee Meeting by SEC Commissioner Hester Peirce

FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs (BrokeAndBroker.com Blog)

Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5936/securities-industry-commentator/

FINRA Sanctions Rep and Sanctuary Securities Over NT-ETFs (BrokeAndBroker.com Blog)

Statement of U.S. Attorney David C. Weiss Regarding Wilmington Trust Company (DOJ Release)

Former CFO Pleads Guilty to Embezzling over $1.6 Million (DOJ Release)

Margin Interpretation Updates / FINRA Announces Updates to the Interpretations of FINRA's Margin Rule Regarding Minimum Equity (FINRA Regulatory Notice)

Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5935/securities-industry-commentator/

Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights (BrokeAndBroker.com Blog)

SEC Obtains Final Judgment Against Financial Advisor Who Misappropriated Over $6 Million from Elderly and Other Investors (SEC Release)

SEC Obtains Settlement in Fraudulent and Unregistered ICO Case (SEC Release)

FINRA Fines and Suspends Rep for Using Pre-Signed Customer LOAs

In the Matter of Fernando Luis Monllor Arzola, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Business Activities

In the Matter of Lawrence Moskowitz, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for UIT Short-Term Trading

In the Matter of Gary M. Bowman, Respondent (FINRA AWC)

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