Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 29, 2018

BREAKING NEWS: United States Securities and Exchange Commission, Plaintiff, v. Elon Musk, Defendant (Complaint, 18-CV-8865; United States District Court for the Southern District of New York)

Petrobras Reaches Settlement With SEC for Misleading Investors (SEC Release 2018-215)

Double Standard? FINRA Fines And Suspends Wells Fargo Employee For 382 Unauthorized Trades ( Blog)

SEC Charges Bitcoin-Funded Securities Dealer and CEO (SEC Release 2018-218)

CFTC Charges Trading Platform with Illegal Transactions Margined in Bitcoin, Failing to Implement Procedures to Prevent Money-Laundering, and Failing to Register with the CFTC (CFTC Release 7809-18)

Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials / SEC Issues Video Warning to Investors (SEC Release 2018-216)

SEC Obtains Permanent Injunction Against CEO in Penny Stock Fraud Scheme (SEC Litigation Release No. 24290)

Former Financial Officer of Non-Profit Charged with Embezzling over $1.3 Million (DOJ Release)

SEC Charges Ohio Broker with Defrauding Senior Customers (SEC Release No. 24287)

Stockbroker Pays Undisclosed Customer Settlement But It All Explodes Anyway
( Blog)

Former Chief Financial Officer of Bankrate Inc. Sentenced To 10 Years in Prison for Orchestrating a Complex Accounting and Securities Fraud Scheme (DOJ Release)

SG Americas Securities Charged for Improper Handling of ADRs (SEC Release 2018-211)

SEC's plan to open up private markets will let loose the wolves on regular investors ( )

SEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations (SEC Release 2018-212)

Fairfield County Cardiologist Sentenced to Prison for Insider Trading (DOJ Release)

New York Man Sentenced to 46 Months in Prison For Role in Identity Theft and Bank Fraud Scheme / Defendant Traveled Across the Country to Carry Out the Scam (DOJ Release)