Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 6, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6143/securities-industry-commentator/

Nicole Creola Kelly Named Chief of SEC Whistleblower Office

SEC Charges Michigan Investment Adviser with Fraud

SEC Wins Jury Trial Against Hedge Fund Adviser Who Ran Manipulative Short Scheme (SEC Release)

Rochester Man Going To Prison And Ordered To Pay Millions In Restitution For His Role In Ponzi Scheme That Bilked Investors Out Of Millions Of Dollars (DOJ Release)

Executive Charged by SEC for Financial Fraud Scheme Sentenced to 13 Years in Prison in Parallel Criminal Case (SEC Release)

Two New Jersey, One New York Securities Claims Aggregators Arrested and Charged with $40M Fraud (DOJ Release)

SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud (SEC Release)

Prepared Remarks At the Securities Enforcement Forum by SEC Chair Gary Gensler

FINRA Chair Murray Ironically Argues Against Self Regulation (BrokeAndBroker.com Blog)

Postponement Request for Illness in FINRA Customer Arbitration Prompts Covid Testing (BrokeAndBroker.com Blog)

No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award? (BrokeAndBroker.com Blog)

No Margin For Error With Options Expiration (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6142/securities-industry-commentator/

FINRA Chair Murray Ironically Argues Against Self Regulation (BrokeAndBroker.com Blog)

Two New Jersey, One New York Securities Claims Aggregators Arrested and Charged with $40M Fraud (DOJ Release)

SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud (SEC Release)

Penfield Man Going To Prison For Bilking Investors Out Of Hundreds Of Thousands Of Dollars (DOJ Release)

Shareholder Proposals: Staff Legal Bulletin No. 14L (SEC Division of Corporation Finance)

Statement regarding Shareholder Proposals: Staff Legal Bulletin No. 14L (Statement by SEC Chair Gary Gensler)

Statement on Shareholder Proposals: Staff Legal Bulletin No. 14L by SEC Commissioner Hester M. Peirce and SEC Commissioner Elad L. Roisman

Family Feud, Jeopardy, and Let's Make a Deal (Keynote Address of CFTC Commissioner Dawn D. Stump at FIA Expo)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6141/securities-industry-commentator/

Postponement Request for Illness in FINRA Customer Arbitration Prompts Covid Testing (BrokeAndBroker.com Blog)

Statement regarding Shareholder Proposals: Staff Legal Bulletin No. 14L (Statement by SEC Chair Gary Gensler)

Risky Whiskey - Securities Commissioner Stops International Investment Scheme (TSSB Release)

FINRA Fines and Suspends Rep for Private Securities Transactions

In the Matter of Brian S. Pearce, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Borrowing Through a Company He Partially Owned

In the Matter of Brian Jerome Rice, Respondent (FINRA AWC)

No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award? (BrokeAndBroker.com Blog)

No Margin For Error With Options Expiration (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6140/securities-industry-commentator/

No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award? (BrokeAndBroker.com Blog)

Risky Whiskey - Securities Commissioner Stops International Investment Scheme (TSSB Release)

President's Working Group Report on Stablecoins (Statement by SEC Chair Gary Gensler)

Prepared Remarks Before the SIFMA Annual Meeting (Statement by SEC Chair Gary Gensler)

Orville Broker-Dealer Charged with Securities Fraud (DOJ Release)

SEC Charges Two Additional Defendants in Pump-And-Dump Scheme (SEC Release)

New York Man Admits Defrauding Investors of More Than $3.5 Million through Securities Offering Scheme (DOJ Release)

SEC Charges Attorney with Assisting Prime Bank Scheme (SEC Release)

California Attorney Pleads Guilty To Multimillion-Dollar Investment Fraud Scheme (DOJ Release)

No Margin For Error With Options Expiration (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6139/securities-industry-commentator/

No Margin For Error With Options Expiration (BrokeAndBroker.com Blog)

Orange County Man Arrested for Alleged Ponzi Scheme that Raised Nearly $14 Million with False Promises of Profits from House Flipping (DOJ Release)

SEC Charges Newport Beach Company and its Principals with Operating a $13.5 Million Ponzi-Like Scheme (SEC Release)

Convicted Corporate Securities Fraudsters Sentenced To 22 And 12 Months In Prison / Defendants Illegally Transferred, or Used, Insider Information for the Purpose of Trading Infinera Securities (DOJ Release)

COLORADO MAN SENTENCED TO PRISON FOR INVESTMENT FRAUD AND SECURITIES FRAUD (DOJ Release)

Former Registered Securities Professional Entered a Plea to Securities Fraud and other Crimes (TSSB Release)

FINRA Fines and Suspends Former Merrill Lynch Rep for Conversion of Covid-19 Unemployment Funds

In the Matter of Daemon Johnson, Respondent (FINRA AWC)

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