Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 28, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6023/securities-industry-commentator/

Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration (BrokeAndBroker.com Blog)

VOTE for FINRA Small Firm Governor Paige W. Pierce

Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice (SEC Release)

Statement on Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches by SEC Chair Gary Gensler (SEC Release)

SEC Orders $1.2 Million Award to Whistleblower But Denies Related Action Award

Order Determining Whistleblower Award Claim

SEC Orders Over $1 Million In Awards to Three Whistleblowers

Order Determining Whistleblower Award Claim

SEC Orders Award Of Over $350,000 to Whistleblower

Order Determining Whistleblower Award Claim

SEC Orders 30% Award to Whistleblower

Order Determining Whistleblower Award Claim

West Linn Man Pleads Guilty for Role in Real Estate, Agriculture, and Mining Investment Schemes (DOJ Release)

SEC Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer (SEC Release)

CFTC Orders Idaho Man to Pay $150,000 for Registration Violation and Violations of Commodity Pool Operator Regulations (CFTC Release)

Federal Court Says Signed, Sealed, Delivered, Oooh Baby, It's Arbitration (BrokeAndBroker.com Blog)

DBS Throws Director Under the FINRA Regulatory Bus (BrokeAndBroker.com Blog)

FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6022/securities-industry-commentator/

VOTE for FINRA Small Firm Governor Paige W. Pierce

Federal Court Says Signed, Sealed, Delivered, Oooh Baby, It's Arbitration (BrokeAndBroker.com Blog)

Multiple Defendants in 'Grandparent Scam' Network Indicted for Racketeering Conspiracy (DOJ Release)

SEC Charges Promoters of Offering Fraud Targeting Practitioners of Alternative Medicine and Transcendental Meditation (SEC Release)

SEC Charges Netflix Insider Trading Ring (SEC Release)

Co-Founder And Former CEO Of Palo Alto-Based Start-Up Technology Company Headspin Charged With Securities Fraud And Wire Fraud / Defendant Raised More than $100 Million In Investments And Is Charged With Overstating Revenue To Investors (DOJ Release)

SEC Charges Former CEO of Technology Company With $80 Million Fraud (SEC Release)

SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme (SEC Release)

Federal Court Orders Georgia Man and Two Companies to Pay Over $15.6 Million for Forex Fraud and Registration Violations (CFTC Release)

Chair Gensler Announces Addition of Barbara Roper to Senior Staff (SEC Release)

FINRA Bars Rep for Churning and Excessive Trading

In the Matter of Donald J. Fowler, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Customers' Signatures Forgeries

In the Matter of Joffre Salazar, Respondent (FINRA AWC)

FINRA Censures and Fines Member Firm for PST Supervision

In the Matter of Andes Capital Group, LLC, Respondent (FINRA AWC)

DBS Throws Director Under the FINRA Regulatory Bus (BrokeAndBroker.com Blog)

FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6021/securities-industry-commentator/

VOTE for FINRA Small Firm Governor Paige W. Pierce

RIP Charlie Watts: You Can Lose The Backbeat (BrokeAndBroker.com Blog)

SEC Charges Netflix Insider Trading Ring (SEC Release)

SEC Charges Former CEO of Technology Company With $80 Million Fraud (SEC Release)

SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme (SEC Release)

New York Life Insurance Broker Sentenced to 27 Months in Prison for Securities Fraud Scheme (DOJ Release)

SEC Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing EPS Initiative (SEC Release)

Federal Court Orders Georgia Man and Two Companies to Pay Over $15.6 Million for Forex Fraud and Registration Violations (CFTC Release)

The Journey to the Cloud: Implications for the Securities Industry (FINRA Unscripted)

DBS Throws Director Under the FINRA Regulatory Bus (BrokeAndBroker.com Blog)

FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6020/securities-industry-commentator/

RIP Charlie Watts -- End of an era

VOTE for FINRA Small Firm Governor Paige W. Pierce

DBS Throws Director Under the FINRA Regulatory Bus (BrokeAndBroker.com Blog)

New York Life Insurance Broker Sentenced to 27 Months in Prison for Securities Fraud Scheme (DOJ Release)

Texas Man Pleads Guilty to Wire Fraud for Foreign Exchange Investment Fraud Scheme (DOJ Release)

SEC Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing EPS Initiative (SEC Release)

Federal Court Orders Alabama Man to Pay More Than $16 Million in Precious Metals Fraud (CFTC Release)

Statement of Commissioner Dawn D. Stump on the CFTC's Regulatory Authority Applicable to Digital Assets (CFTC Release)

FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6019/securities-industry-commentator/

FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award (BrokeAndBroker.com Blog)

SEC Charges San Antonio Investment Adviser with Operating a Fraudulent Scheme and Misappropriating Investor Assets (SEC Release)

FINRA Censures and Fines J.P. Morgan for Reg SHO Failures-to-Deliver and Naked Shorting

In the Matter of J.P. Morgan Clearing Corporation n/k/a/ J.P. Morgan Securities LLC, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Unauthorized Trading

In the Matter of Debasish Hajra, Respondent (FINRA AWC)

Permalink