The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
February 25, 2023
Industry vets form organization to stand up for individual advisors (Financial Planning by Dan Shaw)
United States Supreme Court Precludes Bankruptcy Discharge of Debt Obtained By Fraud Regardless of Petitioner's Culpability
Kate Marie Bartenwerfer, Petitioner, v. Kieran Buckley (Opinion, United States Supreme Court, No. 21-908, 598 U.S. ___(2023) /February 22, 2023)
CFTC Denies Whistleblower Awards to Five Claimants
Order Determining Whistleblower Award Claims
CFTC Denies Whistleblower Award to Claimant
Order Determining Whistleblower Award Claims
CFTC Approves Whistleblower Award to Claimant 1 and Denies Award to Claimants 2, 3, and 4.
Order Determining Whistleblower Award Claims
FINRA Fines and Suspends Rep For Working as Tax Preparer
In the Matter of Jeremy Jefferson, Respondent (FINRA AWC)
In the Matter of Jeremy Jefferson, Respondent (FINRA AWC)
FINRA Arbitration Panel Awards Former Aegis Capital Associated Person Customers Over $186,000
In the Matter of the Arbitration Between Juan Angel Seoane, Claimant, v. Aegis Capital Corp, Respondent (FINRA Arbitration Award)
In the Matter of the Arbitration Between Juan Angel Seoane, Claimant, v. Aegis Capital Corp, Respondent (FINRA Arbitration Award)
FINRA Arbitration Panel Awards Customers over $60,000 in Damages Against No-Show Associated Person
In the Matter of the Arbitration Between Germon G. Medeiros and Jennifer L. Medeiros,Individually and as Joint Tenants, and the Germon G. Medeiros Trust, Claimants, v. Centaurus Financial, Inc. and Joseph Michael Todd, Respondents (FINRA Arbitration Award)
In the Matter of the Arbitration Between Germon G. Medeiros and Jennifer L. Medeiros,Individually and as Joint Tenants, and the Germon G. Medeiros Trust, Claimants, v. Centaurus Financial, Inc. and Joseph Michael Todd, Respondents (FINRA Arbitration Award)