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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
July 2, 2022
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6527/securities-industry-commentator/
GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)
A Finra Arbitration Descended Into Acrimony. Fallout Lingers a Decade Later.(Barrons by Andrew Welsch)
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (With Updated Conclusion) (BrokeAndBroker.com Blog)
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process
Justice Department Announces Enforcement Action Charging Six Individuals with Cryptocurrency Fraud Offenses in Cases Involving Over $100 Million in Intended Losses (DOJ Release)
Operators Of Over $16 Million International Boiler Room Fraud Sentenced To Years In Prison (DOJ Release)
Three Men Charged in $100 Million Cryptocurrency Fraud (DOJ Release)
SEC Charges Empires Consulting Corp. with Fake Trading Scheme / As scheme collapsed, defendants stopped investor withdrawals and relocated to Brazil (SEC Release)
CFTC Charges Commodity Pool Operators and a Florida Company with Fraudulently Solicitating Over $41.6 Million in a Commodity Pool Scheme (CFTC Release)
Apple's Former Director of Corporate Law Admits Insider Trading (DOJ Release)
Rhode Island Man Sentenced in Insider Trading Scheme / Defendant obtained nearly $52,000 in profit from trades based on information from company senior executive (DOJ Release)
Former Stockbroker Pleads Guilty to Charges for $3.2 Million Investment Fraud, Cheating on Taxes, Defrauding Elderly Victim (DOJ Release)
DC Solar Owner Sentenced to Over 11 Years in Prison for Billion Dollar Ponzi Scheme (DOJ Release)
Michigan Man Sentenced to Four Years in Prison for Defrauding Business Opportunity Buyers of More Than $5 Million (DOJ Release)
Final Defendant of Four Sioux Falls Men Arrested for Role in Bank Fraud & Money Laundering Conspiracies (DOJ Release)
Australian Tech Entrepreneur Sentenced To More Than 8 Years For Multimillion Dollar Consumer Fraud Scheme (DOJ Release)
Johns Creek man pleads guilty to defrauding elderly man (DOJ Release)
Mark T. Uyeda Sworn In as SEC Commissioner (SEC Release)
SEC Charges Recidivist and Four Others in Oil-And-Gas Offering Frauds (SEC Release)
SEC Institutes Administrative Proceedings Against Seven Transfer Agents for Violations of Transfer Agent Rules and Regulations (SEC Release)
UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy (SEC Release)
Ernst & Young to Pay $100 Million Penalty for Employees Cheating on CPA Ethics Exams and Misleading Investigation / Largest Penalty Ever Imposed by SEC Against an Audit Firm (SEC Release)
When Voluntary Means Mandatory and Forever: Statement on In the Matter of Ernst & Young LLP by SEC Commissioner Hester M. Peirce
SEC Charges Two Israeli Citizens Who Posed as a Prominent Financial Educator with Securities Fraud (SEC Release)
SEC Charges New Jersey Man with Insider Trading (SEC Release)
SEC Charges Canadian Public Company and Its CEO in Fraudulent Microcap Scheme (SEC Release)
CFTC Charges South African Pool Operator and CEO with $1.7 Billion Fraud Involving Bitcoin / This Action Is CFTC's Largest Fraud Scheme Case Involving Bitcoin (CFTC Release)
CFTC Orders Interactive Brokers LLC to Pay Over $1 Million for Supervision Failures (CFTC Release)
FINRA Expels Worden Capital
FINRA Department of Enforcement, Complainant, v. Worden Capital Management LLC, Respondent (FINRA OHO Default Decision)
FINRA Fines and Suspends Rep For Falsified Disbursement Forms
In the Matter of Paul Charles DeMark, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Uncompensated OBA
In the Matter of Gregory Andrews, Respondent (FINRA AWC)
FINRA Fines and Suspends Former UBS for Rock Salt
In the Matter of Patrick Reid Murray, Respondent (FINRA AWC)
Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6526/securities-industry-commentator/
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (BrokeAndBroker.com Blog)
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)
The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process
Rhode Island Man Sentenced in Insider Trading Scheme / Defendant obtained nearly $52,000 in profit from trades based on information from company senior executive (DOJ Release)
Former Stockbroker Pleads Guilty to Charges for $3.2 Million Investment Fraud, Cheating on Taxes, Defrauding Elderly Victim (DOJ Release)
DC Solar Owner Sentenced to Over 11 Years in Prison for Billion Dollar Ponzi Scheme (DOJ Release)
Michigan Man Sentenced to Four Years in Prison for Defrauding Business Opportunity Buyers of More Than $5 Million (DOJ Release)
Final Defendant of Four Sioux Falls Men Arrested for Role in Bank Fraud & Money Laundering Conspiracies (DOJ Release)
Australian Tech Entrepreneur Sentenced To More Than 8 Years For Multimillion Dollar Consumer Fraud Scheme (DOJ Release)
Johns Creek man pleads guilty to defrauding elderly man (DOJ Release)
SEC Institutes Administrative Proceedings Against Seven Transfer Agents for Violations of Transfer Agent Rules and Regulations (SEC Release)
UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy (SEC Release)
Ernst & Young to Pay $100 Million Penalty for Employees Cheating on CPA Ethics Exams and Misleading Investigation / Largest Penalty Ever Imposed by SEC Against an Audit Firm (SEC Release)
When Voluntary Means Mandatory and Forever: Statement on In the Matter of Ernst & Young LLP by SEC Commissioner Hester M. Peirce
SEC Charges Two Israeli Citizens Who Posed as a Prominent Financial Educator with Securities Fraud (SEC Release)
SEC Charges New Jersey Man with Insider Trading (SEC Release)
SEC Charges Canadian Public Company and Its CEO in Fraudulent Microcap Scheme (SEC Release)
FINRA Expels Worden Capital
FINRA Department of Enforcement, Complainant, v. Worden Capital Management LLC, Respondent (FINRA OHO Default Decision)
FINRA Fines and Suspends Rep For Falsified Disbursement Forms
In the Matter of Paul Charles DeMark, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Uncompensated OBA
In the Matter of Gregory Andrews, Respondent (FINRA AWC)
FINRA Fines and Suspends Former UBS for Rock Salt
In the Matter of Patrick Reid Murray, Respondent (FINRA AWC)
Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6525/securities-industry-commentator/
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)
Former Stockbroker Pleads Guilty to Charges for $3.2 Million Investment Fraud, Cheating on Taxes, Defrauding Elderly Victim (DOJ Release)
DC Solar Owner Sentenced to Over 11 Years in Prison for Billion Dollar Ponzi Scheme (DOJ Release)
Michigan Man Sentenced to Four Years in Prison for Defrauding Business Opportunity Buyers of More Than $5 Million (DOJ Release)
Final Defendant of Four Sioux Falls Men Arrested for Role in Bank Fraud & Money Laundering Conspiracies (DOJ Release)
Australian Tech Entrepreneur Sentenced To More Than 8 Years For Multimillion Dollar Consumer Fraud Scheme (DOJ Release)
Johns Creek man pleads guilty to defrauding elderly man (DOJ Release)
Ernst & Young to Pay $100 Million Penalty for Employees Cheating on CPA Ethics Exams and Misleading Investigation / Largest Penalty Ever Imposed by SEC Against an Audit Firm (SEC Release)
When Voluntary Means Mandatory and Forever: Statement on In the Matter of Ernst & Young LLP by SEC Commissioner Hester M. Peirce
SEC Charges Canadian Public Company and Its CEO in Fraudulent Microcap Scheme (SEC Release)
FINRA Expels Worden Capital
FINRA Department of Enforcement, Complainant, v. Worden Capital Management LLC, Respondent (FINRA OHO Default Decision)
FINRA Fines and Suspends Rep For Falsified Disbursement Forms
In the Matter of Paul Charles DeMark, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Uncompensated OBA
In the Matter of Gregory Andrews, Respondent (FINRA AWC)
FINRA Fines and Suspends Former UBS for Rock Salt
In the Matter of Patrick Reid Murray, Respondent (FINRA AWC)
Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6524/securities-industry-commentator/
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)
Johns Creek man pleads guilty to defrauding elderly man (DOJ Release)
Ernst & Young to Pay $100 Million Penalty for Employees Cheating on CPA Ethics Exams and Misleading Investigation / Largest Penalty Ever Imposed by SEC Against an Audit Firm (SEC Release)
SEC Charges Canadian Public Company and Its CEO in Fraudulent Microcap Scheme (SEC Release)
FINRA Fines and Suspends Former UBS for Rock Salt
In the Matter of Patrick Reid Murray, Respondent (FINRA AWC)
Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)
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Bill Singer
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