Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

October 23, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6118/securities-industry-commentator/

CFTC Awards Largest Single Whistleblower Award of $200 Million But With One Commissioner's Dissent (BrokeAndBroker.com Blog)

Suburban Chicago Woman Guilty of Insider Trading (DOJ Release)

Coolidge Real Estate Investor Convicted of Wire Fraud and Money Laundering (DOJ Release)

Chicago Investment Manager Sentenced to 17 Years in Federal Prison for Swindling $10 Million From Clients and Lenders (DOJ Release)

CEO Of East Bay-Based Internet Companies Marketing Child-Friendly Services Indicted On Wire Fraud And Securities Fraud Charges / Alan Anderson Arrested In Connection With Alleged Scheme To Raise Money By Creating False Impression of Profitability and Sending False Contracts to Investors (DOJ Release)

Tulsa Man Pleads Guilty to Defrauding Investor and Banks of Millions of Dollars (DOJ Release)

Former CEO, CFO, And VP Of Email Security Company Charged With $50 Million Fraud Scheme / Robert Bernardi, Nihat Cardak, and Sunil Chandra Raised Millions of Dollars from Investors and Lenders by Using Fabricated Documents and Impersonating a Purported Customer, Auditor, and Lawyer (DOJ Release)

SEC Charges Former CEO and CFO of Software Company with Multimillion Dollar Fraud (SEC Release)

Former Lawyer Agrees to Plead Guilty to Conning Clients via Sham Court Documents Containing Forged Judge Signatures (DOJ Release)

Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings / VTB Capital Also Agrees to Settlement with SEC for Role in Misleading Investors (SEC Release)

In the Matter of Credit Suisse (Statement by SEC Commissioner Hester M. Peirce)

Remarks at the PRI/LSEG Investor Action on Climate Webinar by SEC Commissioner Allison Herren Lee

FINRA Fines and Suspends Rep for Seeking Economic Injury Disaster Loan

In the Matter of Doli Kumar, Respondent (FINRA AWC)

There Was Little She Could Do -- So Why Was This BOM's Record Marked Up? (BrokeAndBroker.com Blog)

After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction (BrokeAndBroker.com Blog)

Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6117/securities-industry-commentator/

There Was Little She Could Do -- So Why Was This BOM's Record Marked Up? (BrokeAndBroker.com Blog)

Justice, Labor Departments Reach Settlements with Facebook Resolving Claims of Discrimination Against U.S. Workers and Potential Regulatory Recruitment Violations (DOJ Release)

Annual Report to Congress on Department of Justice Activities to Combat Elder Fraud and Abuse / October 18, 2021

Encore/Overlapping Risks: Anti-Money Laundering and Cybersecurity (FINRA UnScripted)

After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction (BrokeAndBroker.com Blog)

Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6116/securities-industry-commentator/

After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction (BrokeAndBroker.com Blog)

Attorney General James Directs Unregistered Crypto Lending Platforms to Cease Operations In New York, Announces Additional Investigations / Today's Announcement Follows Previous Warnings to Virtual Currency Platforms That Unlawful Activity Will Not Be Tolerated in New York (NYAG Release)

SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021(SEC Release)

Statement on Staff Report on Equity and Options Market Structure Conditions in Early 2021 by Chair Gary Gensler

Statement on Staff Report on Equity and Options Market Conditions in Early 2021 by SEC Commissioner Hester M. Peirce and Commissioner Elad L. Roisman

Enhancing Equity Market Competition (Speech by SEC Commissioner Elad L. Roisman)

FINRA Fines and Suspends Rep for Removing and Retaining Customer Information

In the Matter of Robert Frederick Geiler, Respondent (FINRA AWC)

Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6115/securities-industry-commentator/

Federal Circuit Court Sustains Registered Rep's Conviction and Sentence of 90 Months (BrokeAndBroker.com Blog)

SEC Obtains Judgment Against Massachusetts Man Who Defrauded Investors in International Real Estate Investment Scheme (SEC Release)

SEC Awards About $32 Million and about $8 Million to Two Whistleblowers

Order Determining Whistleblower Award Claim

SEC Awards Over $300,000 to Whistleblower

Order Determining Whistleblower Award Claim

SEC Awards About $400,000 to Whistleblower

Order Determining Whistleblower Award Claim

CFTC Orders Tether and Bitfinex to Pay Fines Totaling $42.5 Million / Tether to Pay $41 million Over Claims that Tether Stablecoin was Fully Backed by US Dollars / Bitfitnex to Pay $1.5 Million for Illegal Transactions While Operating Bitfinex Cryptocurrency Trading Platform and Violation of Prior CFTC Order (CFTC Release)

Concurring Statement by CFTC Commissioner Dawn D. Stump Regarding Tether and Bitfinex Settlement

FINRA Fines and Suspends Non-Registered Fingerprint Person for Away Brokerage Account

In the Matter of Brandon Lopez, Respondent (FINRA AWC)