Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

July 24, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5963/securities-industry-commentator/

Everybody Knows (BrokeAndBroker.com Guest Blog by Aegis Frumento Esq)

9Cir Affirms CFTC Preliminary Injunction against Monex

U.S. Commodity Futures Trading Commission, Plaintiff/Appellee, v. Monex Credit Company; et al., Defendants/Appellants (Memorandum)

2Cir Affirms SEC v. Fowler With Modification of Postage Fees

Securities and Exchange Commission, Plaintiff/Appellee, v. Donald J. Fowler, Defendant/Appellant (Opinion)

SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies (SEC Release)

SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors (SEC Release)

State Securities Regulators in Texas and Alabama Team Up to Protect Senior Investors and Put a Stop to Fraudulent Precious Metal Investments (TSSB Release)

FINRA Censures and Fines D.H. Hill Securities for Private Placement Sales

In the Matter of D.H. Hill Securities, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep For Seeking COVID Loan (BrokeAndBroker.com Blog)

FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5962/securities-industry-commentator/

FINRA Fines and Suspends Rep For Seeking COVID Loan (BrokeAndBroker.com Blog)

South Carolina Investment Fund Manager Sentenced to 63 Months in Prison for $20 Million Securities Fraud Scheme (DOJ Release)

Memphis Man Sentenced to Federal Prison for Fraud Scheme Targeting Nonprofits (DOJ Release)

SEC Charges Connecticut Man for Fraud in Hotel Renovation Investment (SEC Release)

FINRA Fines and Suspends Rep for PSTs in Away Retirement Accounts

In the Matter of Timothy Ray Plant, Respondent (FINRA AWC)

FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5961/securities-industry-commentator/

FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures (BrokeAndBroker.com Blog)

CPA Pleads Guilty To Defrauding Elderly Investors (DOJ Release)

SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures (SEC Release)

Manhattan Investment Fund Manager Sentenced To 5 Years In Prison For Securities Fraud And Misappropriation Scheme (DOJ Release)

Colorado CEO and Fund Manager Arrested for $10 Million Securities Fraud Scheme (DOJ Release)

SEC Awards Over $2.9 Million to Whistleblower

Order Determining Whistleblower Award Claim

FINRA Censures and Fines Precision Securities LLC for AML Supervision

In the Matter of Precision Securities LLC, Respondent (FINRA AWC)

Prepared Remarks of Gary Gensler, Chair of the Securities and Exchange Commission, Before the American Bar Association Derivatives and Futures Law Committee Virtual Mid-Year Program (Speech by SEC Chair Gary Gensler)

Chocolate-Covered Cicadas (Speech by SEC Commissioner Hester M. Peirce)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5960/securities-industry-commentator/

FINRA Censures and Fines Precision Securities LLC for AML Supervision

In the Matter of Precision Securities LLC, Respondent (FINRA AWC)

UBS Settles Charges Related to Investments in Complex Exchange-Traded Product (SEC Release)

SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer (SEC Release)

SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5959/securities-industry-commentator/

UBS Settles Charges Related to Investments in Complex Exchange-Traded Product (SEC Release)

SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer (SEC Release)

SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies (SEC Release)

FINRA Sanctions Wilson-Davis and Three Principals Over Microcap Supervision

(FINRA Order Accepting Offer of Settlement)

SEC Awards About $40,000 to Whistleblower