The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
December 11, 2021
The Prolonged Saga of In re Goldman Sachs Group, Inc. (BrokeAndBroker.com Blog)
SEC Charges Tech Employee and His Brother-In-Law with Insider Trading (SEC Release)
Remarks Before the Healthy Markets Association Conference by SEC Chair Chair Gary Gensler
Four Smarter Ways To Reach For High Yield (Forbes.com by William Baldwin)
Former Finance Executive Sentenced to 138 Months in Prison for Orchestrating Massive Market Manipulation Scheme (DOJ Release)
Essex Man Sentenced to Four Years in Federal Prison for His Role in a Bank Fraud Conspiracy / The Defendant Arranged the Creation of 50 Shell Companies; Caused a loss of $606,598.08 (DOJ Release)
SEC Obtains Emergency Relief, Charges Ten Entities and Five Individuals in Connection with $122 Million Oil and Gas Offering Fraud (SEC Release)
Two Florida Men Arrested and Charged in Insider Trading Scheme / Defendants allegedly used material nonpublic information for stock trading that generated at least $4 million in profits (DOJ Release)
Three Coconspirators in a Paycheck Protection Program Loan Scheme Plead Guilty (DOJ Release)
Recidivist Fraudster And Co-Conspirator Charged In Covid-19 Relief Loan, Identity Theft, And Money Laundering Scheme (DOJ Release)
Federal Court Sanctions Slovakian Trader and His Principals for Spoofing and Engaging in a Manipulative and Deceptive Scheme (CFTC Release)
California Court of Appeal Retains State Court Jurisdiction of BTIG Employment Retaliation Lawsuit (BrokeAndBroker.com Blog)
No Show Respondent in FINRA Arbitration Prompts No Explanation in Award (BrokeAndBroker.com Blog)