Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 22, 2022

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6250/securities-industry-commentator/

A Bankruptcy, a Voluntary Dismissal, and a Death (BrokeAndBroker.com Blog)

Market Order Timeliness / FINRA Reminds Member Firms of Obligation to Execute Marketable Customer Orders Fully and Promptly (FINRA Regulatory Notice 22-04)

Federal Reserve Board releases discussion paper that examines pros and cons of a potential U.S. central bank digital currency (Federal Reserve Release)

Tyler Man Indicted for Using Stolen Valor to Defraud Investors (DOJ Release)

Hollywood Executive Pleads Guilty To Defrauding New York Investment Fund Of Over $30 Million (DOJ Release)

Leader Of Complex International Fraud And Money Laundering Ring Sentenced To 14 Years In Prison (DOJ Release)

Putnam County Man Pleads Guilty to Defrauding Elderly Citizens and Local Bank (DOJ Release)

Needham Police Officer and Two Others Arrested for Insider Trading Scheme / Defendants allegedly profited from information obtained from public company executive (DOJ Release)

SEC Charges Three Friends with Insider Trading (SEC Release)

SEC Charges Two in Penny Stock Fraud Scheme (SEC Release)

SEC Wins Judgment Against Georgia Individual in Prime Bank Investment Scheme (SEC Release)

SEC Charges Colorado Man with Fraud Related to Cryptocurrency Venture (SEC Release)

SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers (SEC Release)

Federal Court Orders Kentucky Resident to Pay $17 Million for Defrauding Commodity Futures Clients (CFTC Release)

FINRA Fines Credit Suisse Securities $9 Million for Multiple Operational Failures (FINRA Release)

FINRA Arbitration Award Limits Social Media Liking and Linking (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6249/securities-industry-commentator/

A Bankruptcy, a Voluntary Dismissal, and a Death (BrokeAndBroker.com Blog)

Hollywood Executive Pleads Guilty To Defrauding New York Investment Fund Of Over $30 Million (DOJ Release)

Leader Of Complex International Fraud And Money Laundering Ring Sentenced To 14 Years In Prison (DOJ Release)

Putnam County Man Pleads Guilty to Defrauding Elderly Citizens and Local Bank (DOJ Release)

Needham Police Officer and Two Others Arrested for Insider Trading Scheme / Defendants allegedly profited from information obtained from public company executive (DOJ Release)

SEC Charges Three Friends with Insider Trading (SEC Release)

SEC Charges Two in Penny Stock Fraud Scheme (SEC Release)

SEC Wins Judgment Against Georgia Individual in Prime Bank Investment Scheme (SEC Release)

SEC Charges Colorado Man with Fraud Related to Cryptocurrency Venture (SEC Release)

Federal Court Orders Kentucky Resident to Pay $17 Million for Defrauding Commodity Futures Clients (CFTC Release)

FINRA Fines Credit Suisse Securities $9 Million for Multiple Operational Failures (FINRA Release)

FINRA Arbitration Award Limits Social Media Liking and Linking (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6248/securities-industry-commentator/

FINRA Arbitration Award Limits Social Media Liking and Linking (BrokeAndBroker.com Blog)

SEC Charges Colorado Man with Fraud Related to Cryptocurrency Venture (SEC Release)

Former Executive Vice President Of T.J. Martell Foundation Charged With Embezzling Over $3.7 Million / Scheme to Defraud National Cancer Research Organization (DOJ Release)

Rochester Man Who Bilked At Least 1000 Victims Out Of More Than 100-Million In A Nationwide Multi-Million Dollar Ponzi Scheme Going To Prison (DOJ Release)

Analyst Michael Mayo Awarded $400,000 in Compensation Dispute Against CLSA Americas

In the Matter of the Arbitration Between Michael Mayo, Claimant, v. CLSA Americas, LLC, Respondent (FINRA Arbitration Award)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6247/securities-industry-commentator/

FINRA Arbitration Award Limits Social Media Liking and Linking (BrokeAndBroker.com Blog)

Rochester Man Who Bilked At Least 1000 Victims Out Of More Than 100-Million In A Nationwide Multi-Million Dollar Ponzi Scheme Going To Prison (DOJ Release)

Analyst Michael Mayo Awarded $400,000 in Compensation Dispute Against CLSA Americas

In the Matter of the Arbitration Between Michael Mayo, Claimant, v. CLSA Americas, LLC, Respondent (FINRA Arbitration Award)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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