Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 11, 2021

A recollection of 9/11 by Aegis Frumento, Esq. GUEST BLOG http://BrokeAndBroker.com

http://brokeandbroker.com/6049/insecurities-aegis-frumento-9/11/

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6046/securities-industry-commentator/

4 questions for Wall Street fraud expert Bill Singer (Financial Planning Podcast hosted by Julie Coleman)

Federal Court Finds Lack of Jurisdiction In FINRA OHO Teleconferencing Lawsuit

Alpine Securities Corporation, Plaintiff, v. Financial Industry Regulatory Authority, Defendant (Memorandum Decision and Order Granting Motion to Dismiss, United States District Court for the District of Utah ("DUT") / September 7, 2021)

SEC Severs Two Appeals from Consolidated Arbitration Applications

In the Matter of the Application of Consolidated Arbitration Applications for Review of Action Taken By FINRA (Order Severing Proceedings)

FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders (BrokeAndBroker.com Blog)

How the first disabled and woman-owned NYSE floor broker is changing Wall Street (CNBC.com)

Philadelphia Woman Admits $100 Million Securities Fraud Scheme (DOJ Release)

Three Operators of Financial Services Firm Charged and Arrested in Alleged $155 Million Investment Fraud Scheme (DOJ Release)

Raleigh Investment Advisor's 40 Year Sentence for Ponzi Scheme and Obstruction Affirmed on Appeal (DOJ Release)

SEC ALJ Grimes Issues Protective Order

In the Matter of Kimberly D. Butler, Prosperity Economics Partners, LLC, and Partners for Prosperity, LLC (SEC Protective Order, Admin. Proc. Rul. Rel. No. 6829, Admin. Proc. File No. 3-20454 / September 9, 2021)

Prepared Remarks Before the Investor Advisory Committee by SEC Chair Gary Gensler

Remarks at Meeting of Investor Advisory Committee by SEC Commissioner Hester M. Peirce

Remarks at the Meeting of the Investor Advisory Committee by SEC Commissioner Elad L. Roisman

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6045/securities-industry-commentator/

4 questions for Wall Street fraud expert Bill Singer (Financial Planning Podcast hosted by Julie Coleman)

FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders (BrokeAndBroker.com Blog)

How the first disabled and woman-owned NYSE floor broker is changing Wall Street (CNBC.com)

International Money Launderer Sentenced to More Than 11 Years in Prison for Laundering Millions of Dollars in Cyber Crime Schemes / Defendant Ordered to Pay Victims in U.S. and Elsewhere More Than $30 Million in Restitution (DOJ Release)

Leader Of Fake Cryptocurrency Investment Scheme Pleads Guilty To Fraud (DOJ Release)

Ukrainian Cyber Criminal Extradited For Decrypting The Credentials Of Thousands Of Computers Across The World And Selling Them On A Dark Web Website (DOJ Release)

SEC Charges Issuers and CEO for $18 Million IIIegal Securities Offering (SEC Release)

SEC Charges Attorney with Participation in IIIegal, Unregistered Securities Offerings (SEC Release)

Cantor Fitzgerald Sort of Wins FINRA Promissory Note Arbitration

In the Matter of the Arbitration Between Cantor Fitzgerald & Co., Claimant, v. Michael Brennan, Respondent (FINRA Arbitration Award)

FINRA Censures and Fines Santander Investment Securities for Research Reports

In the Matter of Santander Investment Securities Inc., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Business Activity

In the Matter of Athanasios Tomaras, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Impersonating Customers

In the Matter of Kevin John DeAngelis, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6044/securities-industry-commentator/

FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders (BrokeAndBroker.com Blog)

How the first disabled and woman-owned NYSE floor broker is changing Wall Street (CNBC.com)

Leader Of Fake Cryptocurrency Investment Scheme Pleads Guilty To Fraud (DOJ Release)

Ukrainian Cyber Criminal Extradited For Decrypting The Credentials Of Thousands Of Computers Across The World And Selling Them On A Dark Web Website (DOJ Release)

Septuagenarian Broker Accuses Wells of Reneging on Promise of Debt-Free Retirement (September 7, 2021 by Miriam Rozen)

In re: Chapter 7 / Anthony Fusco a/k/a Anthony John Fusco, Debtor (United States Bankruptcy Court for the Eastern District of New York, No. 18-42451)

-and-

Fred Blake a/k/a Frederick Blake, Plaintiff, v. Anthony Fusco a/k/a Anthony John Fusco, Defendant (United States Bankruptcy Court for the Eastern District of New York, Adv. Pro. No. 19-01149)

MEMORANDUM DECISION ON THE PLAINTIFF'S MOTION TO CONFIRM THE ARBITRATION AWARD

SEC Obtains Final Judgments Against Four Former Renewable Energy Industry Executives (SEC Release)

Cantor Fitzgerald Sort of Wins FINRA Promissory Note Arbitration

In the Matter of the Arbitration Between Cantor Fitzgerald & Co., Claimant, v. Michael Brennan, Respondent (FINRA Arbitration Award)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6043/securities-industry-commentator/

FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders (BrokeAndBroker.com Blog)

Septuagenarian Broker Accuses Wells of Reneging on Promise of Debt-Free Retirement (September 7, 2021 by Miriam Rozen)

In re: Chapter 7 / Anthony Fusco a/k/a Anthony John Fusco, Debtor (United States Bankruptcy Court for the Eastern District of New York, No. 18-42451)

-and-

Fred Blake a/k/a Frederick Blake, Plaintiff, v. Anthony Fusco a/k/a Anthony John Fusco, Defendant (United States Bankruptcy Court for the Eastern District of New York, Adv. Pro. No. 19-01149)

MEMORANDUM DECISION ON THE PLAINTIFF'S MOTION TO CONFIRM THE ARBITRATION AWARD

SEC Obtains Final Judgments Against Four Former Renewable Energy Industry Executives (SEC Release)

Permalink