Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

April 30, 2022


FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages (BrokeAndBroker.com Blog)

SEC Alleges Fraud in Digital Asset Securities Offerings (SEC Release)

Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients / Settlement Structured to Expedite Payment to Bondholders Through Related Bankruptcy Proceeding (SEC Release)

Robert Lenard Booth Convicted Of Defrauding Investors Of Nearly $2 Million /Jury Convicts Robert Lenard Booth for Conspiracies to Commit Securities Fraud, Wire Fraud, and Money Laundering (DOJ Release)

SEC Charges Promoters of "Automated Cryptocurrency Fund" with Fraud and Registration Violations (SEC Release)

SEC Charges Brazilian Mining Company with Misleading Investors about Safety Prior to Deadly Dam Collapse / Since 2016, Vale manipulated safety audits and obtained fraudulent stability certificates (SEC Release)

Founders Of Fake "Hedge Fund" Plead Guilty To Federal Charges For Orchestrating A $4 Million Ponzi Scheme (DOJ Release)

Remarks at Virtual Roundtable on the Future of Going Public and Expanding Investor Opportunities: A Comparative Discussion on IPOs and the Rise of SPACs by SEC Commissioner Caroline A. Crenshaw

After the SEC's PAUSE, We're Left Wondering Why (BrokeAndBroker.com Blog)

Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration (BrokeAndBroker.com Blog)

Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion (BrokeAndBroker.com Blog)


















After the SEC's PAUSE, We're Left Wondering Why (BrokeAndBroker.com Blog)

SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme / Multiple Archegos Executives Charged with Misleading Counterparties (SEC Release)

SEC Awards Over $500,000 to Whistleblower Claimant
Order Determining Whistleblower Award Claims

Two Keene Residents Charged In Superseding Indictment With Additional Charges Related to Virtual Currency Exchange Business (DOJ Release)

Former Owner of Chrysler Dealerships in Lodi and Sonora Charged with Wire Fraud for Defrauding Investors (DOJ Release)

FINRA Censures and Fines Berthel, Fisher For Unsuitable Options Recommendations
In the Matter of Berthel, Fisher & Co. Financial Services Inc., Respondent (FINRA AWC)

FINRA Arbitration Panel Awards $500,000 in Damages in New York Life Insurance Company Age Discrimination Lawsuit
In the Matter of the Arbitration Between George Fayezishk, Claimant, v. Richard Paul Simonetti and New York Life Insurance Company, Respondents (FINRA Arbitration Award)

Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration (BrokeAndBroker.com Blog)

Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion (BrokeAndBroker.com Blog)