Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
March 4, 2023
SEC No Longer Believable When It Comes To Whistleblower Award Denials (BrokeAndBroker.com Blog)
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit (BrokeAndBroker.com Blog)
JOIN the Financial Professionals Coalition, Ltd
Alexandru Bittner, Petitioner v. United States (Opinion, United States Supreme Court)
Two Men Sentenced in $30M Foreign Exchange Fraud Scheme (DOJ Release)
Real Estate Investor Pleads Guilty to $3 Million Wire and Bankruptcy Fraud Scheme (DOJ Release)
Former Bank Employee Charged With Million-Dollar Fraud And Embezzlement Scheme (DOJ Release)
Former Bank Employee Convicted After Trial for Fraudulently Opening Bank Accounts (DOJ Release)
SEC Charges Broker-Dealer with Failing to Report Suspicious Transactions (SEC Release)
SEC Charges Father and Son Financial Advisory Duo (SEC Release)
SEC Charges Hawaii Investment Adviser with Running Ponzi Scheme (SEC Release)
SEC Charges Texas Stockbroker for Stealing Funds from Elderly Customers (SEC Release)
SEC Denies Whistleblower Award to Claimant
Order Determining Whistleblower Award Claim
SEC Denies Whistleblower Awards to Claimant
Order Determining Whistleblower Award Claim
FINRA Censures and Fines Member Firm for Private Placement Supervision
In the Matter of Lighthouse Capital Group, LLC, Respondent (FINRA AWC)
FINRA Censures and Fines Member Firm for Risk Management Controls and Supervisory Procedures
In the Matter of Fenix Securities, LLC, Respondent (FINRA AWC)
FINRA Fines and Suspends NRF for Unauthorized Materials at SIE Exam
In the Matter of Thomas M. O'Keefe, Respondent (FINRA AWC)
Guam Uniform Securities Act Cited in FINRA Arbitration / Panel Awards Public Customer Over $3 Million in Compensatory and Punitive Damages
In the Matter of the Arbitration Between Michael Phillips, Claimant, v. Asia Pacific Financial Management Group, Inc., Respondents (FINRA Arbitration Award)
FINRA Arbitration Panel Slams Morgan Stanley With Multi-Million Dollar Compensatory/Punitive Damages in Charles Schwab Lawsuit
In the Matter of the Arbitration Between Charles Schwab & Co., Inc, Claimant, v. Morgan Stanley, Christopher Robert Armstrong, Randall Brian Kiefner, Respondents (FINRA Arbitration Award)