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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
July 31, 2021
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5975/securities-industry-commentator/
Statement on Investor Protection Related to Recent Developments in China by SEC Chair Gary Gensler
SEC Charges Real Estate CEO With Defrauding Investors (SEC Release)
FINRA Bars Founder of Integrity Brokerage Services and Fines Firm Over Association of Statutorily Disqualified Individual
Department of Enforcement, Complainant v. Integrity Brokerage Services, Inc. and Joshua Helmle, Respondents (FINRA OHO Panel Decision)
SEC Charges Broker-Dealer with IIIicitly Profiting from Partial Tender Offer (SEC Release)
SEC Charges Founder of Nikola Corp. With Fraud (SEC Release)
International Wholesale Currency Dealer Pleads Guilty to Unlawfully Operating in the United States (DOJ Release)
Another Office Girl Gets Slammed By FINRA (BrokeAndBroker.com Blog)
FINRA Arbitrators Put It There In Disputed AMZN Options Trade (BrokeAndBroker.com Blog)
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5974/securities-industry-commentator/
Another Office Girl Gets Slammed By FINRA (BrokeAndBroker.com Blog)
SEC Charges Founder of Nikola Corp. With Fraud (SEC Release)
SEC Charges Unlicensed Broker With Defrauding Investors (SEC Release)
SEC Obtains Final Judgment Against Accountant in Market Manipulation Scheme (SEC Release)
Fraud: Beware of Broker Imposter Scams (FINRA Staff Release)
SEC Charges Brewery, Recidivist Owner, and Other Individuals with Fraud (SEC Release)
FINRA Fines and Suspends Rep for Unauthorized Discretion
In the Matter of Gilbert A. Kuta, Respondent (FINRA AWC)
FINRA Censures and Fines CODA Markets for Supervisory Issues
In the Matter of CODA Markets, Inc. f/k/a PDQ ATS, Inc., Respondent (FINRA AWC)
FINRA Arbitrators Put It There In Disputed AMZN Options Trade (BrokeAndBroker.com Blog)
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5973/securities-industry-commentator/
FINRA Arbitrators Put It There In Disputed AMZN Options Trade (BrokeAndBroker.com Blog)
United States Sells Unique Wu-Tang Clan Album Forfeited by Convicted Hedge Fund Manager Martin Shkreli / Defendant Forfeited His Interest in the Album, "Once Upon a Time in Shaolin," Following Conviction for Engaging in Securities Fraud Schemes / Proceeds from the Sale Will be Applied to Forfeiture Money Judgment Against Shkreli / United States Sells Unique Wu-Tang Clan Album Forfeited by Convicted Hedge Fund Manager Martin Shkreli (DOJ Release)
Fraud: Beware of Broker Imposter Scams (FINRA Staff Release)
SEC Charges Brewery, Recidivist Owner, and Other Individuals with Fraud (SEC Release)
Prepared Remarks Before the Principles for Responsible Investment "Climate and Global Financial Markets" Webinar (SEC Chair Gary Gensler)
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5972/securities-industry-commentator/
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges (BrokeAndBroker.com Blog)
United States Sells Unique Wu-Tang Clan Album Forfeited by Convicted Hedge Fund Manager Martin Shkreli / Defendant Forfeited His Interest in the Album, "Once Upon a Time in Shaolin," Following Conviction for Engaging in Securities Fraud Schemes / Proceeds from the Sale Will be Applied to Forfeiture Money Judgment Against Shkreli / United States Sells Unique Wu-Tang Clan Album Forfeited by Convicted Hedge Fund Manager Martin Shkreli (DOJ Release)
SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures (SEC Release)
Testimony Before the Subcommittee on Financial Services and General Government, U.S. House Appropriations Committee (SEC Chair Gary Gensler)
NYS Court Finds No Employment Status at AXA
In the Matter of the Claim of Dennis Lee, Appellant. AXA Advisors LLC, Respondent. Commissioner of Labor, Respondent) (NYS Appellate Division)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5971/securities-industry-commentator/
Makin' It Rain At The Strip Club -- FINRA Goes After Adult Entertainment Charges
(BrokeAndBroker.com Blog)
Holistic Wellness Business Founder Sentenced To 8 Years In Federal Prison For Ponzi Scheme / Founder Claimed He Had Cured Himself of Cancer and Awarded $2 Million from Vanderbilt for Research (DOJ Release)
NYS Court Finds No Employment Status at AXA
In the Matter of the Claim of Dennis Lee, Appellant. AXA Advisors LLC, Respondent. Commissioner of Labor, Respondent) (NYS Appellate Division)
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Bill Singer
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