SEC Watchdog Out Two Months After Criticizing Its Rulemaking / October report said SEC didn't even notify its managers of policy changes / Acting IG Padilla first relayed concerns to Chair Gensler in September (Bloomberg by John Holland)
'Amid Stonewalling, Whistleblower Tips to SEC Dry Up' by On The Merits (Bloomberg Podcast)
Time To Overhaul SEC Whistleblower Program (BrokeAndBroker.com Blog)
DOJ RELEASES
Ex-Wall Street Trader Convicted of Fraud in Precious Metals Spoofing Scheme (DOJ Release)
Fortune Telling Fraud Scheme Leads to Prison for Orchestrators (DOJ Release)
Indictment Unsealed Charging Two Individuals in Alleged Financial Fraud Scheme (DOJ Release)
Chief Technology Officer Of Blockchain Company Charged With Scheme To Defraud The Company Of Over $1 Million And Cryptocurrency (DOJ Release)
California Executive Compensation Consultant Sentenced To Prison For Committing Insider Trading (DOJ Release)
Chief Financial Officer Of Global Public Relations Firm Sentenced To 52 Months In Prison For Fraud And Falsification Of Corporate Records / Frank Okunak Embezzled Over $16 Million and Caused Publicly Traded Corporation to Keep False Book and Records (DOJ Release)
Comerica Vault Manager Pleads Guilty to Embezzling At Least $120,000 (DOJ Release)
Queens Resident Sentenced to Prison for Helping to Sell U.S. Savings Bonds Stolen from Elderly Woman (DOJ Release)
Nigerian National Sentenced To More Than Six Years In Federal Prison For International Tax Fraud Scheme (DOJ Release)
Four Men Arrested In Transnational Wire Fraud And Identity Theft Conspiracy (DOJ Release)
ABB Agrees to Pay Over $315 Million to Resolve Coordinated Global Foreign Bribery Case/ ABB Subsidiaries in Switzerland and South Africa plead guilty to bribery conspiracy (DOJ Release)
SEC RELEASES
SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering (SEC Release)
Statement on Reopening of Comment Period for Share Repurchase Disclosure Modernization by SEC Commissioner Mark T. Uyeda
SEC Obtains Judgment Against Market Manipulator (SEC Release)
SEC Charges Seven Parties in a Combination Pump-And-Dump and Securities Offering Scheme (SEC Release)
AT&T Settles SEC Charge of Selectively Disclosing Material Information to Wall St. Analysts / Company Agrees to Pay a Record Penalty in Regulation FD Cases of $6.25 Million (SEC Release)
ABB Settles SEC Charges that it Engaged in Bribery Scheme in South Africa / Global technology company ordered to pay $460 million total to U.S. authorities to settle criminal and civil charges (SEC Release)
CFTC RELEASES
FINRA RELEASES
FINRA Censures and Fines CCO for Supervision of Variable Annuities and External Emails
In the Matter of Christine A. Warner, Respondent (FINRA AWC)
FINRA Censures and Fines Rep for Having Prohibited Materials During At-Home FINRA 7 Test
In the Matter of Kellen Ferris, Respondent (FINRA AWC)
FINRA Censures and Fines LPL Financial LLC for Failing to Investigate OBA Red Flags
In the Matter of LPL Financial LLC, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Excessive/Unsuitable Trading
In the Matter of Mirsad A. Muharemovic, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Discretion But Offers No Helpful Guidance
In the Matter of Patrick A. Perugino, Respondent (FINRA AWC)
