Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 25, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6070/securities-industry-commentator/

FINRA, Claptrap, Fraud, Mental Frames, and Subjective Construals (BrokeAndBroker.com Blog)

The 'Quad' is on the rise in Asia-Pacific: Game theory has a prediction about its future (CNBC by Ted Kemp)

SEC Charges World's Largest Advertising Group with FCPA Violations (SEC Release)

SEC Charges New Yorker for Running Ponzi Scheme Targeting Haitian American Community (SEC Release)

SEC Charges Wisconsin Investment Advisor with Defrauding Clients (SEC Release)

SEC Charges Principals of Subprime Automobile Finance Company with Fraud (SEC Release)

SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors (SEC Release)

SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme (SEC Release)

Former Analyst Charged With $8 Million Insider Trading Scheme For Front-Running Employer's Pending Trades / Sergei Polevikov Misappropriated Information Regarding his Employer's Pending Trades to Make $8 Million in Illicit Profits on Personal Securities Trades (SEC Release)

SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme (SEC Release)

American Ex-Pat Pleads Guilty To Panamanian Wire Fraud Conspiracy (DOJ Release)

Former Insurance Broker Going To Prison For Defrauding Insurance Companies And Individual Investors Out of More Than $1-Million (DOJ Release)

SEC Charges School District and Former Executive with Misleading Investors in Bond Offering (SEC Release)

CFTC Orders Michigan Man to Pay $150,000 for Registration Violation of Commodity Trading Advisor Regulation (CFTC Release)

FINRA Names Sarah Gill as Ombudsman, Cindy Foster as VP of MAP Program (FINRA Release)

FINRA, Crypto, Covid, and Outside Business Activities (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6069/securities-industry-commentator/

FINRA, Claptrap, Fraud, Mental Frames, and Subjective Construals (BrokeAndBroker.com Blog)

SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme (SEC Release)

SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme (SEC Release)

American Ex-Pat Pleads Guilty To Panamanian Wire Fraud Conspiracy (DOJ Release)

Former Insurance Broker Going To Prison For Defrauding Insurance Companies And Individual Investors Out of More Than $1-Million (DOJ Release)

SEC Charges School District and Former Executive with Misleading Investors in Bond Offering (SEC Release)

CFTC Orders Michigan Man to Pay $150,000 for Registration Violation of Commodity Trading Advisor Regulation (CFTC Release)

FINRA, Crypto, Covid, and Outside Business Activities (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6068/securities-industry-commentator/

FINRA, Crypto, Covid, and Outside Business Activities (BrokeAndBroker.com Blog)

American Ex-Pat Pleads Guilty To Panamanian Wire Fraud Conspiracy (DOJ Release)

Treasury Takes Robust Actions to Counter Ransomware / Targets First Virtual Currency Exchange for Laundering Cyber Ransoms/ OFAC Updates Ransomware Advisory to Encourage Reporting and Cyber Resilience (United States Department of the Treasury Press Release)

SEC Obtains Judgment Against Fund Manager and Bars Him from Appearing or Practicing Before the SEC (SEC Release)

SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings / Case is SEC's First Involving Regulation Crowdfunding (SEC Release)

SEC Charges Puerto Rican Company and Managing Members with Fraud (SEC Release)

SEC Charges Texas Resident with Defrauding Investors (SEC Release)

FINRA Suffers Brutal Rebuke at SEC in High-Profile Scottsdale Appeal

In the Matter of the Application of Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy DiBlasi, and D. Michael Cruz For Review of Disciplinary Action Taken by FINRA (Opinion, '34 Act Rel. No. 93052; Admin. Proc. File No. 3-18612)

Single Points of Accountability: Navigating Firms' Experiences with FINRA (FINRA Podcast)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6067/securities-industry-commentator/

SEC Charges Two More Firms With Share Class Disclosure Violations / The settlements are the latest in a string of SEC enforcement actions for similar conduct, which one lawyer says is now 'low-hanging fruit' for the regulator (WealthManagement.com by Patrick Donachie)

SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings / Case is SEC's First Involving Regulation Crowdfunding (SEC Release)

SEC Charges Puerto Rican Company and Managing Members with Fraud (SEC Release)

Chevy Chase Man Facing Federal Indictment for Allegedly Posing as an Investment Advisor to Steal $750,0000 From a Non-Profit Organization Providing Services to Combat and Wounded Military Veterans (DOJ Release)

Virginia Beach Investment Advisor and Williamsburg Attorney Sentenced for $25 Million Nationwide Investment Fraud Scheme (DOJ Release)

SEC Charges Texas Resident with Defrauding Investors (SEC Release)

SEC Awards Over $2.5 Million to Whistleblower

Order Determining Whistleblower Award Claim

Single Points of Accountability: Navigating Firms' Experiences with FINRA (FINRA Podcast)

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