Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

April 9, 2022

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6383/securities-industry-commentator/

The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)

Interactive Brokers Wins $26.7 Million Counterclaim Against Customers in Stock Manipulation Case

Dong Fang, Xingxian Li, Qixu Wang, and Jingxue Zhang, Claimants, v. Interactive Brokers LLC, Respondent (FINRA Arbitration Award)

Monmouth County Man Admits Orchestrating Multimillion-Dollar Accounts Receivable Factoring Scheme (DOJ Release)

Colorado CEO and Fund Manager Admits to $11 Million Securities Fraud Scheme (SEC Release)

Florida-Based Companies and Their Owner Settle Mid-Trial for $1.8 Million for Fraudulent Forex and Digital Asset Scheme (CFTC Release)

FINRA Fines and Suspends Rep for Sharing in Losses, PSTs, and Unapproved Communications

In the Matter of Jay S. Sheth, Respondent (FINRA AWC)

SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal (BrokeAndBroker.com Blog)

FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)

3Cir Considers Absolute Privilege For Alleged Form U5 Defamation (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6382/securities-industry-commentator/

SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal (BrokeAndBroker.com Blog)

Former Mckinsey Partner Sentenced To 24 Months In Prison For Insider Trading Scheme / Defendant Puneet Dikshit Was a Lead McKinsey Partner Advising Goldman Sachs on Its Acquisition of GreenSky (DOJ Release)

SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities

Statement on Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities by SEC Commissioner Caroline A. Crenshaw

FINRA Arbitrators Publish Impressive Rationale in Dismissal of Schwab Customer's Claims

James E. Novak, Claimant, v. Charles Schwab & Co., Inc., HFR Investment Advisory Services, and Herbert F. Reilly, III, Respondents (FINRA Arbitration Award)

FINRA Censures and Sanctions National Securities Corporation For Pre-IPO Private Placement Offering

In the Matter of National Securities Corporation, Respondent (FINRA AWC)

FINRA Bars Rep For Converting Checks from Senior Customers

In the Matter of Marianne O'Shee Smith, Respondent (FINRA AWC)

FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)

3Cir Considers Absolute Privilege For Alleged Form U5 Defamation (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6381/securities-industry-commentator/

SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal (BrokeAndBroker.com Blog)

Commission Statement Relating to Certain Administrative Adjudications (SEC)

Senior Executive of Oil-Services Company Sentenced to Three Years for $886 Million Securities Fraud Scheme (DOJ Release)

Restraining Order Entered Against Florida Operators of Technical-Support Fraud Scheme Targeting Seniors (DOJ Release)

Two Men Sentenced to Combined 13 Years in $1.5 Million Apple Gift Card Scheme (DOJ Release)

Manvel man sent to prison for draining co-workers in investment scheme (DOJ Release)

SEC: Takeover Bid of Fortune 500 Company was a Sham (SEC Release)

SEC Obtains Final Judgments from Two Defendants for Their Roles in $45 Million Fraudulent Scheme (SEC Release)

SEC Charges Kansas Man with Insider Trading (SEC Release)

Statement on In the Matter of Lloyd D. Reed by SEC Commissioner Hester M. Peirce

FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)

3Cir Considers Absolute Privilege For Alleged Form U5 Defamation (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6380/securities-industry-commentator/

FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)

Two Men Sentenced to Combined 13 Years in $1.5 Million Apple Gift Card Scheme (DOJ Release)

Manvel man sent to prison for draining co-workers in investment scheme (DOJ Release)

SEC Awards $160,000 and $80,000 to Two Whistleblowers

Order Determining Whistleblower Award Claims

Prepared Remarks of SEC Chair Gary Gensler On Crypto Markets (Penn Law Capital Markets Association Annual Conference)

Canadian Man Arrested and Charged with Conspiracy, Wire Fraud / Defendant is co-conspirator in a $300 million nationwide telemarketing fraud scheme (DOJ Release)

Rochester Man Sentenced To 10 Years' Imprisonment In Multi-Million Dollar Nationwide Ponzi Scheme (DOJ Release)

SEC Charges California Investment Adviser for Undisclosed Conflicts of Interest Related To Real Estate Ponzi (SEC Release)

3Cir Considers Absolute Privilege For Alleged Form U5 Defamation (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6379/securities-industry-commentator/

3Cir Considers Absolute Privilege For Alleged Form U5 Defamation (BrokeAndBroker.com Blog)

Canadian Man Arrested and Charged with Conspiracy, Wire Fraud / Defendant is co-conspirator in a $300 million nationwide telemarketing fraud scheme (DOJ Release)

Rochester Man Sentenced To 10 Years' Imprisonment In Multi-Million Dollar Nationwide Ponzi Scheme (DOJ Release)

SEC Charges California Investment Adviser for Undisclosed Conflicts of Interest Related To Real Estate Ponzi (SEC Release)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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