Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW - BrokeAndBroker.com

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 14, 2023

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6840/securities-industry-commentator/

Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors (BrokeAndBroker.com Blog)

We Got A Version. We Got A Sample. We Got A 17 Year Old Margin Capability Dispute Against E*TRADE (BrokeAndBroker.com Blog)

FINRA NAC Fines and Suspends Rep For Paying Commissions to an Unregistered Person (BrokeAndBroker.com Blog)

Did You Hear The One About The Zombie Who Requested An IRA Distribution? (BrokeAndBroker.com Blog)

Former Chief Financial Officer Of Email Security Company Pleads Guilty To $50 Million Scheme To Defraud Investors And Lenders (DOJ Release)

Defendant Sentenced In Groundbreaking Cryptocurrency Insider Trading Case / Nikhil Wahi Was Sentenced to 10 Months in Prison for Trading Using Misappropriated Information About Crypto Asset Listings on an Exchange (DOJ Release)

Man Sentenced for Integral Role in Sophisticated International Fraud Scheme / Defendant Laundered Over $3.5 Million in Fraudulent Online Auction Proceeds as Part of a Scheme that Defrauded Over 900 American Victims (DOJ Release)

Former Amtrak Employee Sentenced for Wire Fraud (DOJ Release)

SEC Obtains Final Judgments Against Former Executives for Corporate Expense Abuses (SEC Release)

SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program (SEC Release)

SEC Charges Los Angeles Individual with Perpetrating a $47 Million Affinity Fraud Targeting Members of the Orthodox Jewish Community (SEC Release)

SEC Files Subpoena Enforcement Action Against Law Firm Covington & Burling LLP Seeking the Names of Entities Whose Non-Public Information Was Accessed by Threat Actors Who Accessed Covington's Computer Network (SEC Release)

SEC Obtains Final Judgment Against Defendant Charged in $43 Million Tribal Bonds Scheme (SEC Release)

SEC Charges McDonald's Former CEO for Misrepresentations About His Termination / Fast Food Company Charged for Public Disclosure Violations (SEC Release)

Statement Regarding In the Matter of Stephen J. Easterbrook and McDonald's Corporation by SEC Commissioner Hester M. Peirce and SEC Commissioner Mark T. Uyeda

SEC Denies Whistleblower Award to Claimant

Order Determining Whistleblower Award Claim

SEC Denies Whistleblower Award to Claimant

Order Determining Whistleblower Award Claim

SEC Awards About $5 Million Whistleblower Award to One Claimant But Denies Award to Second Claimants

Order Determining Whistleblower Award Claims

SEC Awards About $300,000 Whistleblower Award to Two Claimants

Order Determining Whistleblower Award Claims

SEC Awards About $900,000 Whistleblower Award to Claimant

Order Determining Whistleblower Award Claims

CFTC Charges Avraham Eisenberg with Manipulative and Deceptive Scheme to Misappropriate Over $110 million from Mango Markets, a Digital Asset Exchange / First CFTC Oracle Manipulation Case on "Decentralized Exchange" (CFTC Release)

CFTC Charges Former New York City Commodity Pool Operator with Fraud (CFTC Release)

FINRA Censures and Fines Corinthian Partners, LLC for Supervision of CEO and CCO Trading

In the Matter of Corinthian Partners, LLC, Respondent (FINRA AWC)

FINRA Censures and Fines Insight Securities for Supervision of NT-ETPs

In the Matter of Insight Securities, Inc., Respondent (FINRA AWC)

FINRA Censures and Fines DeLoitte Corporate Finance, LLC for Failing to Retain iMessages

In the Matter of Deloitte Corporate Finance, LLC, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep For Promissory Note PST

In the Matter of Clinton F. Byrd, Respondent (FINRA AWC)

2023 Report on FINRA's Examination and Risk Monitoring Program

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