Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

October 16, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6106/securities-industry-commentator/

FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI (BrokeAndBroker.com Blog)

CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings (CFTC Release)

Stock Promoters Plead Guilty to "Pump and Dump" Securities Fraud Scheme (DOJ Release)

Suburban Chicago Businessman Sentenced to Eleven Years in Federal Prison for Participating in Multi-Million Dollar Ponzi Scheme (DOJ Release)

SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation (SEC Release)

Statement on Rules Regarding Clawbacks of Erroneously Awarded Compensation by SEC Chair Gary Gensler

Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration (BrokeAndBroker.com Blog)

The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6105/securities-industry-commentator/

FINRA, FinCen, Networks, Authorities, Priorities, Statements, Guidance, AML, CFT, BSA, and NBFI (BrokeAndBroker.com Blog)

Senior Executive of Oil-Services Company Pleads Guilty to Securities Fraud Scheme that Caused Over $886 Million in Shareholder Losses (DOJ Release)

FEDERAL JURY CONVICTS DEFENDANTS IN NUTECH ENERGY RESOURCES SECURITIES FRAUD (DOJ Release)

Federal Court Orders Suffolk New York Man and His Company to Pay $370,000 for Commodity Pool Fraud and Misappropriation (CFTC Release)

SEC Modernizes Filing Fee Disclosure and Payment Methods / Amendments Will Help Automate Filing Fee Calculation and Validation, Update Fee Payment Options (SEC Release)

Investor Protection in the Age of Gamification: Game Over for Regulation Best Interest? (Remarks at "SEC Speaks" by SEC Investor Advocate Rick A. Fleming)

Banner Year in the Markets Solves Capital Raising Woes: Headline Clickbait and the Real Story of Access to Capital (Remarks at "SEC Speaks 2021" by SEC Advocate for Small Business Capital Formation Martha Legg Miller)

Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration (BrokeAndBroker.com Blog)

The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6104/securities-industry-commentator/

Public Customers Win (Sort Of) Undelineated Cause of Action In Oddball FINRA Arbitration (BrokeAndBroker.com Blog)

Prepared Remarks at SEC Speaks by SEC Chair Gary Gensler

Digital Asset Securities - Common Goals and a Bridge to Better Outcomes (Remarks by Commissioner Caroline A. Crenshaw at "SEC Speaks")

Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy (Remarks by SEC Commissioner Allison Herren Lee at "SEC Speaks")

Remarks at SEC Speaks by Commissioner Elad L. Roisman

Remarks at SEC Speaks 2021 by Gurbir Grewal, Director, Division of Enforcement

Lawless in Austin (Speech by SEC Commissioner Hester M. Peirce at the "Texas Blockchain Summit")

SEC Awards Almost $1.3 Million to Whistleblower

Order Determining Whistleblower Award Claim

The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6103/securities-industry-commentator/

The FINRA Expungement of A Customer Complaint That Was Not a Complaint Or From A Customer (BrokeAndBroker.com Blog)

Prepared Remarks at SEC Speaks by SEC Chair Gary Gensler

Five Traders Tell Us How to Survive a World of Disrupted Markets By Bloomberg News

Grand Blanc Man and Flint Woman Sentenced in Fraudulent Investment Scheme (DOJ Release)

SEC Awards $100,000 to Whistleblower

Order Determining Whistleblower Award Claim

SEC Awards 30% Bounty to Whistleblower

Order Determining Whistleblower Award Claim

CFTC Charges Two Men and Their Companies with Commodity Pool Fraud, Other Violations (CFTC Release)

CFTC Charges North Carolina Companies and Their Owners in $1 Million Foreign Currency Fraud and Misappropriation Scheme / Federal Court Issues Restraining Order Against Defendants Freezing Assets and Preserving Records (CFTC Release)

JPMorgan Chase Wins Stunning Victory Against High-Profile Whistleblower

Johnny E Burris, Plaintiff, v. JPMorgan Chase & Company, et al., Defendants (DAZ Order)