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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
March 12, 2022
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6335/securities-industry-commentator/
Angry E*TRADE Customer Can't Find 750 Shares of Tesla (BrokeAndBroker.com Blog)
SEC Denies Awards To Three Whistleblower Claimants
Order Determining Whistleblower Award Claims
SEC Awards $38,000 to Whistleblower Claimant and Denies Award to Second Claimants
Order Determining Whistleblower Award Claims
Essex County Man Sentenced to 108 Months in Prison for Mortgage and Securities Fraud Schemes (DOJ Release)
Former Resident of Bergen County Sentenced to 29 Months in Prison for $1.5 Million Investment Fraud Scheme (DOJ Release)
SEC Obtains Final Judgment Against Operator of Fraudulent Digital Asset Trading Fund (SEC Release)
Third Founder Of Cryptocurrency Exchange Pleads Guilty To Bank Secrecy Act Violations / Samuel Reed Designed BitMEX as a Platform to Flout U.S. Anti-Money Laundering Rules (DOJ Release)
Former Westlake Investment Advisor Convicted of Stealing More Than $9.3 Million from Clients in Ponzi Scheme (DOJ Release)
FACT SHEET: President Biden to Sign Executive Order on Ensuring Responsible Development of Digital Assets (White House Release)
Serial Fraudster Extradited to the United States from Mexico to Face Investment Fraud Scheme Charges in North Carolina and Texas (DOJ Release)
SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (SEC Release)
Statement in Support of a Multi-Pronged Approach to Cybersecurity by SEC Commissioner Caroline A. Crenshaw
Dissenting Statement on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Proposal by SEC Commissioner Hester M. Peirce
Assessing Materiality: Focusing on the Reasonable Investor When Evaluating Errors by SEC Acting Chief Accountant Paul Munter
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6334/securities-industry-commentator/
SEC Obtains Final Judgment Against Operator of Fraudulent Digital Asset Trading Fund (SEC Release)
Third Founder Of Cryptocurrency Exchange Pleads Guilty To Bank Secrecy Act Violations / Samuel Reed Designed BitMEX as a Platform to Flout U.S. Anti-Money Laundering Rules (DOJ Release)
Former Westlake Investment Advisor Convicted of Stealing More Than $9.3 Million from Clients in Ponzi Scheme (DOJ Release)
FACT SHEET: President Biden to Sign Executive Order on Ensuring Responsible Development of Digital Assets (White House Release)
Serial Fraudster Extradited to the United States from Mexico to Face Investment Fraud Scheme Charges in North Carolina and Texas (DOJ Release)
SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (SEC Release)
Statement in Support of a Multi-Pronged Approach to Cybersecurity by SEC Commissioner Caroline A. Crenshaw
Dissenting Statement on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Proposal by SEC Commissioner Hester M. Peirce
Assessing Materiality: Focusing on the Reasonable Investor When Evaluating Errors by SEC Acting Chief Accountant Paul Munter
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6333/securities-industry-commentator/
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)
SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (SEC Release)
SEC Obtains Final Judgment Against Operator of Fraudulent Digital Asset Trading Fund (SEC Release)
FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations (FINRA Release)
Report on FINRA's Examination and Risk Monitoring Program / A Comprehensive Reference Item for Firms (FINRA Unscripted)
SEC Orders $3.5 Million Whistleblower Awards for Claimant
Order Determining Whistleblower Award Claims
Owners and Operators of Online Cryptocurrency Companies Indicted for Defrauding Investors / Defendants Allegedly Stole Over $40 Million in Investor Funds and Obstructed Justice (DOJ Release)
CFTC Charges Four Operators for $44 Million Bitcoin Ponzi and Misappropriation Schemes (CFTC Release)
Statement of Commissioner Dawn D. Stump Regarding Enforcement Action Relating to Bitcoin Fraud
Owner of Rust Rare Coin Sentenced to 19 Years in Prison for Running Fraudulent Silver Trading Program (DOJ Release)
John Barksdale Charged With Cryptocurrency Securities Fraud In Connection With Sale Of Ormeus Coin / Through False Representations, BARKSDALE's Company Ormeus Global Raised at Least $70 Million From More Than 8,000 Investors Around the World (DOJ Release)
SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos (SEC Release)
New York Man Sentenced to Four Years in Prison for Role in Bank Fraud (DOJ Release)
North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme (DOJ Release)
SEC Charges Previously-Barred Investment Adviser with Fraud (SEC Release)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6332/securities-industry-commentator/
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)
John Barksdale Charged With Cryptocurrency Securities Fraud In Connection With Sale Of Ormeus Coin / Through False Representations, BARKSDALE's Company Ormeus Global Raised at Least $70 Million From More Than 8,000 Investors Around the World (DOJ Release)
SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos (SEC Release)
New York Man Sentenced to Four Years in Prison for Role in Bank Fraud (DOJ Release)
North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme (DOJ Release)
SEC Charges Previously-Barred Investment Adviser with Fraud (SEC Release)
FINRA Fines and Suspends Rep Over Joint Production Codes
In the Matter of Jazmin Gabriela Carpenter, Respondent (FINRA AWC)
SEC Orders Whistleblower Awards for Two Claimants
Order Determining Whistleblower Award Claims
SEC Charges Venture Capital Fund Adviser with Misleading Investors / Alumni Ventures Group, LLC Repays $4.7 Million (SEC Release)
Former Port Orchard, Washington attorney sentenced to prison for defrauding clients / Stole money intended for a children's hospital, then stole $500,000 from another client to hide previous theft (DOJ Release)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6331/securities-industry-commentator/
Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)
SEC Orders Whistleblower Awards for Two Claimants
Order Determining Whistleblower Award Claims
SEC Charges Venture Capital Fund Adviser with Misleading Investors / Alumni Ventures Group, LLC Repays $4.7 Million (SEC Release)
Former Port Orchard, Washington attorney sentenced to prison for defrauding clients / Stole money intended for a children's hospital, then stole $500,000 from another client to hide previous theft (DOJ Release)
Send Lawyers, Guns and Money: (Over-) Zealous Representation by Corporate Lawyers / Remarks at PLI's Corporate Governance - A Master Class 2022[1] (Speech by SEC Commissioner Allison Herren Lee)
Securities Industry Commentator
Bill Singer
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