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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
May 7, 2022
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6431/securities-industry-commentator/
A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't (BrokeAndBroker.com Blog)
SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining (SEC Release)
SEC Awards $3.5 Million to Whistleblower Claimants
Order Determining Whistleblower Award Claims
CEO of Mining Capital Coin Indicted in $62 Million Cryptocurrency Fraud Scheme (DOJ Release)
SEC Halts Fraudulent Cryptomining and Trading Scheme / Founders allegedly promised big returns, instead used investments to fund lavish lifestyles (SEC Release)
APPLETON MAN SENTENCED TO 15 YEARS' IMPRISONMENT FOR PONZI SCHEME (DOJ Release)
Providence Man Sentenced in Wide-Ranging Bank Fraud and COVID Small Business Loan Schemes (DOJ Release)
"Career Fraudster" Sentenced to Ten Years in Federal Prison (DOJ Release)
Jury Finds Sarasota Man Guilty Of Running $80 Million "Oasis" Forex Ponzi Scheme (DOJ Release)
SEC Charges New Jersey-Based Securities Fraud Recidivist with Defrauding Investors (SEC Release)
SEC Charges Nevada Resident with Offering Fraud (SEC Release)
Federal Court Orders BitMEX's Three Co-Founders to Pay a Total of $30 Million for Illegally Operating a Cryptocurrency Derivatives Trading Platform and Anti-Money Laundering Violations / Co-Founders Ordered to Pay $10 Million Each (CFTC Release)
A Century with a Gold Standard by SEC Chair Gary Gensler
Remarks at SEC Small Business Capital Formation Advisory Committee Meeting by SEC Commissioner Hester M. Peirce
To Err Is Human, To Forgive Is Not FINRA's Concern (BrokeAndBroker.com Blog)
The Curious Case of Donald Howard (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6430/securities-industry-commentator/
To Err Is Human, To Forgive Is Not FINRA's Concern (BrokeAndBroker.com Blog)
Jury Finds Sarasota Man Guilty Of Running $80 Million "Oasis" Forex Ponzi Scheme (DOJ Release)
SEC Charges Nevada Resident with Offering Fraud (SEC Release)
Philadelphia Woman Sentenced to 109 Months in Prison for $100 Million Securities Fraud Scheme (DOJ Release)
Dearborn Resident Sentenced in Investment Fraud Scheme (DOJ Release)
FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000 (FINRA Release)
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512 (FINRA Unscripted)
Former Bank Branch Manager Sentenced To Prison For Tech Support Fraud Scheme That Exploited The Elderly / Technical Support Scheme Deceived Victims Across the United States and Canada, Many of Whom are Elderly, into Paying for Phony Computer Repair Services (DOJ Release)
Santa Clarita Man Agrees to Plead Guilty to Securities Fraud for Bilking Investors Who Purchased Real Estate 'Coupon Bonds' (DOJ Release)
Saugus Woman Sentenced to 54 Months in Prison for Scheme to Defraud Elderly Uncle of Over $490,000 (DOJ Release)
Greenwich Resident Sentenced to 3 Years in Federal Prison for Defrauding Investors of Nearly $1.5 Million (DOJ Release)
Movie Producer Found Guilty in Film Financing Scheme (DOJ Release)
West Palm Beach Investment Fraudster Sentenced to 42 Months in Federal Prison After Losing Investor Millions in Wire Fraud Scheme (DOJ Release)
Idaho I.T. Professional Charged With Misappropriating Pre-Publication Investment Recommendations For Insider Trading Scheme / David Stone Electronically Accessed an Investment Advice Service's Unannounced Stock Picks and Used That Information to Generate Millions in Trading Profits and to Provide Inside Tips to Another (DOJ Release)
SEC Obtains Asset Freeze Against Idaho Residents in Trading Scheme (SEC Release)
The Curious Case of Donald Howard (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6429/securities-industry-commentator/
To Err Is Human, To Forgive Is Not FINRA's Concern (BrokeAndBroker.com Blog)
FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000 (FINRA Release)
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512 (FINRA Unscripted)
Santa Clarita Man Agrees to Plead Guilty to Securities Fraud for Bilking Investors Who Purchased Real Estate 'Coupon Bonds' (DOJ Release)
Saugus Woman Sentenced to 54 Months in Prison for Scheme to Defraud Elderly Uncle of Over $490,000 (DOJ Release)
Greenwich Resident Sentenced to 3 Years in Federal Prison for Defrauding Investors of Nearly $1.5 Million (DOJ Release)
Movie Producer Found Guilty in Film Financing Scheme (DOJ Release)
West Palm Beach Investment Fraudster Sentenced to 42 Months in Federal Prison After Losing Investor Millions in Wire Fraud Scheme (DOJ Release)
Idaho I.T. Professional Charged With Misappropriating Pre-Publication Investment Recommendations For Insider Trading Scheme / David Stone Electronically Accessed an Investment Advice Service's Unannounced Stock Picks and Used That Information to Generate Millions in Trading Profits and to Provide Inside Tips to Another (DOJ Release)
SEC Obtains Asset Freeze Against Idaho Residents in Trading Scheme (SEC Release)
SEC Obtains Final Judgment Against BTIG, LLC (SEC Release)
Prince George Man Pleads Guilty to Multimillion Dollar Fraud Scheme (DOJ Release)
The Curious Case of Donald Howard (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6428/securities-industry-commentator/
The Curious Case of Donald Howard (BrokeAndBroker.com Blog)
Idaho I.T. Professional Charged With Misappropriating Pre-Publication Investment Recommendations For Insider Trading Scheme / David Stone Electronically Accessed an Investment Advice Service's Unannounced Stock Picks and Used That Information to Generate Millions in Trading Profits and to Provide Inside Tips to Another (DOJ Release)
SEC Obtains Final Judgment Against BTIG, LLC (SEC Release)
Prince George Man Pleads Guilty to Multimillion Dollar Fraud Scheme (DOJ Release)
Former Insurance Agent Pleads Guilty to Defrauding Client of More Than a Million Dollars (DOJ Release)
South Bay Man Pleads Guilty to Participating in a Multimillion-Dollar Real Estate Scam Involving Fake Open Houses at Not-for-Sale Homes (DOJ Release)
2022 FINRA Industry Snapshot
SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts / Defendants allegedly used funds from deceased beneficiaries' accounts on golf tournaments and beach parties (SEC Release)
SEC Obtains Judgment Against Corporate Officer Charged with Assisting Microcap Fraud Scheme (SEC Release)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6427/securities-industry-commentator/
The Curious Case of Donald Howard (BrokeAndBroker.com Blog)
2022 FINRA Industry Snapshot
SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts / Defendants allegedly used funds from deceased beneficiaries' accounts on golf tournaments and beach parties (SEC Release)
SEC Obtains Judgment Against Corporate Officer Charged with Assisting Microcap Fraud Scheme (SEC Release)
Securities Industry Commentator
Bill Singer
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