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

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 3, 2023

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7067/securities-industry-commentator/

Bill Singer, Publisher of
the Securities Industry Commentator
and
the BrokeAndBroker.com Blog,
Calls for BOYCOTT of 2023 FINRA Elections

FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog)

SEC Orders FINRA to Raise Its Arbitration Forum Gate For Expungements (BrokeAndBroker.com Blog)

Financial Professionals Coalition, Ltd. JOIN TODAY -- FREE MEMBERSHIP

SCOTUS Holds That Direct-Listing Plaintiff Must Plead and Prove Purchase of Shares Traceable To Defective Registration Statement
SLACK TECHNOLOGIES, LLC, f/k/a SLACK TECHNOLOGIES, INC., et al.. Petitioners v. FIYYAZ PIRANI

NLRB General Counsel Issues Memo on Non-competes Violating the National Labor Relations Act (NLRB Release)

A BIG ChatGPT OOOPS!!!

DOJ RELEASES

SEC RELEASES

SEC Charges Massachusetts-Based Firm and Its Co-Owners with Acting as Unregistered Securities Dealers (SEC Release)

SEC Charges Repeat Securities Law Violator with New Offering Fraud (SEC Release)

SEC Charges Self-Proclaimed 'Queen of Mobile Homes' and Three Salespeople with Fraud in Mobile Home Investment Scheme (SEC Release)

Commission Statement on the Passing of Former Chairman Harvey Pitt (SEC)

Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric (SEC Release)

SEC Settles IIIicit Trading Case Against Two Former Registered Representatives (SEC Release)

SEC Charges RTW Investments for Failing to Disclose SPAC-Related Conflicts of Interest (SEC Release)

Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities (SEC Release)

SEC Denies Whistleblower Award to Joint Claimants
Order Determining Whistleblower Award Claim

CFTC RELEASES

FINRA RELEASES

FINRA Fines and Suspends Park Avenue Securities Over Supervision of Rep Involved In Cannabis Business
In the Matter of Park Avenue Securities LLC, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Unauthorized Text Messages
In the Matter of Delaina Kucish, Respondent (FINRA AWC)

Report on Use of 2022 Fine Monies (FINRA)

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