Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 15, 2022

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6239/securities-industry-commentator/

Good Vibrations Shoes: a 4 Phase Randomized Program Along with a Lithium Rechargeable Power Source (BrokeAndBroker.com Blog)

Former Chief Executive Officer Pleads Guilty To Embezzling More Than $15 Million From Her Employer / The Defendant Admitted to Using the Embezzled Money to Finance Her Luxury Goods Business and to Fund Her Extravagant Lifestyle (DOJ Release)

Loan Servicer Agrees to Pay Nearly $8 Million to Resolve Alleged False Claims in Connection with Federal Education Loans (DOJ Release)

Banker sentenced for obtaining hundreds of thousands of dollars in fraudulent loans / Former loan officer used another man's identity without consent (DOJ Release)

SEC Charges South Florida Man with Fraudulent Operation of Private Fund (SEC Release)

SEC Obtains Judgment Against Former Pharmaceutical Company CFO Who Engaged in Insider Trading (SEC Release)

FINRA Fines and Suspends Rep for OBA and PST

In the Matter of Christopher Joseph, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Oral Discretion

In the Matter of Joel Kichline, Respondent (FINRA AWC)

FINRA Arbitrator Awards Respondent Infinity Financial Services Attorneys' Fees in Case Where Customer Claimant Sought Voluntary Dismissal

In the Matter of the Arbitration Between Steven Swanson, Claimant, v. Infinity Financial Services, Respondent (FINRA Arbitration Award)

GERRI WALSH: Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation / Testimony Before the Senate Special Committee on Aging

FINRA Mulls A Defaulted Bond's Worth (BrokeAndBroker.com Blog)

How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case? (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6238/securities-industry-commentator/

FINRA Mulls A Defaulted Bond's Worth (BrokeAndBroker.com Blog)

SEC Obtains Judgment Against Former Pharmaceutical Company CFO Who Engaged in Insider Trading (SEC Release)

CFTC Issues Order Suspending Mississippi Man's Registrations as a Commodity Trading Advisor and Associated Person (CFTC Release)

How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case? (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6237/securities-industry-commentator/

FINRA Mulls A Defaulted Bond's Worth (BrokeAndBroker.com Blog)

Federal Indictment Charges Chicago Attorney With Insider Trading (DOJ Release)

SEC Charges Two Friends and Former Business Associates with Insider Trading (SEC Release)

FINRA Censures and Fines E*TRADE for Supervision Lapses

In the Matter of E*TRADE Securities LLC, Respondent (FINRA AWC)

What to Expect: CE Transformation & Maintaining Qualifications Program (FINRA Unscripted)

SEC Awards 30% to Whistleblower

Order Determining Whistleblower Award Claim

SEC Awards 30% to Whistleblower

Order Determining Whistleblower Award Claim

SEC Awards $450,000 to Whistleblower

Order Determining Whistleblower Award Claim

SEC Awards Over $20,000 to Whistleblower

Order Determining Whistleblower Award Claim

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6236/securities-industry-commentator/

How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case? (BrokeAndBroker.com Blog)

SEC Obtains Partial Judgment Against Wisconsin Investment Adviser Charged with Defrauding Clients (SEC Release)

Former Financial Controller Sentenced to Prison for Embezzling Almost Half a Million Dollars from Family-Owned San Diego Business (DOJ Release)

FINRA Arbitration Panel Awards Intellivest Services Damages in Raiding Case Against Growth Capital Services

In the Matter of the Arbitration Between Intellivest Securities, Inc., Claimant, v. Growth Capital Services, Inc., Respondent (FINRA Arbitration Award)

SEC Awards About $2.6 Million to Whistleblower

Order Determining Whistleblower Award Claim

SEC Awards About $1.5 Million to Whistleblower

Order Determining Whistleblower Award Claim

FINRA Fines and Suspends Rep for High Frequency Trading and Discretion

In the Matter of John M. LoPinto, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6235/securities-industry-commentator/

How Many FINRA Enforcement Lawyers Does It Take To Prosecute a Default Case? (BrokeAndBroker.com Blog)

SEC Obtains Partial Judgment Against Wisconsin Investment Adviser Charged with Defrauding Clients (SEC Release)

FINRA Arbitration Panel Awards Intellivest Services Damages in Raiding Case Against Growth Capital Services

In the Matter of the Arbitration Between Intellivest Securities, Inc., Claimant, v. Growth Capital Services, Inc., Respondent (FINRA Arbitration Award)

FINRA Arbitration Dings Robinhood Over Trading Restrictions on Stocks

In the Matter of the Arbitration Between Jose Batista, Claimant, v. Robinhood Financial, LLC, Robinhood Securities, LLC, and Robinhood Markets, Inc. (FINRA Arbitration Award)

Everett Man Charged with Securities Fraud (DOJ Release)

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