Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

October 6, 2018

U.S. Charges Russian GRU Officers with International Hacking and Related Influence and Disinformation Operations / Conspirators Included a Russian Intelligence "Close Access" Hacking Team that Traveled Abroad to Compromise Computer Networks Used by Anti-Doping and Sporting Officials and Organizations Investigating Russia's Use of Chemical Weapons (DOJ Release)

The Stockbroker, His Wife, 3 Customers, 3 Healthcare Proxies, 1 Trust, And 1 IRA ( Blog)

In the Matter of Department of Enforcement, Complainant, vs. Stanley Clayton Niekras, Respondent (Decision, FINRA National Adjudicatory Council, Complaint No. 2013037401001) 

Operator of Precious Metals Brokerage in New York Found Guilty of Tax Evasion / Defendant Used Shell Corporations to Conceal Income (DOJ Release)

SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week / Joint Investor Bulletin Issued on Understanding Digital Assets and Online Investing (SEC Release 2018-227)

FINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs (FINRA Release)

AmerisourceBergen Corporation Agrees to Pay $625 Million to Resolve Allegations That it Illegally Repackaged Cancer-Supportive Injectable Drugs to Profit From Overfill (DOJ Release)

SEC Charges Salix Pharmaceuticals and Former CFO with Making False Statements About Distribution Channel (SEC Litigation Release No. 24302)

Merrill Lynch Rep Wins Expungement Of Decade Old Customer Complaint
( Blog)

In the Matter of the Application of Bruce Zipper for Review of Action Taken by FINRA (Order  Denying Request for Reconsideration; Securities and Exchange Commission, '34 Act Rel. No. 84324; Admin. Proc. File No. 3-17963) 

In the Matter of the Application of Bruce Zipper for Review of Action Taken by FINRA (Opinion; Securities and Exchange Commission,'34 Act Release No. 84334; Admin. Proc. File No. 3-18256) 

Wolves and Wolverines (Speech by SEC Commissioner Hester Peirce) 

Elon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge / Settlement Requires Musk to Step Down as Tesla's Chairman / Tesla to Appoint Additional Independent Directors; Tesla and Musk Agree to Pay $40 million in Penalties (SEC Release 2018-226)

Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders (SEC Release 2018-224)

LPL Stockbroker Wins FINRA Expungement Despite Six Figure Customer Settlement ( Blog) 

SEC Charges Former Texas State Senator and CEO with Securities Fraud (SEC Litigation Release No. 24296)

SEC Charges Australia-Based Investment Adviser with Fraud (SEC Litigation Release No. 24291)

SEC Charges San Diego Technology Repair Company, Business Partners in Ponzi Scheme (SEC Litigation Release No. 24293)

SEC Charges Florida Microcap Company, CEO and Consultant with Fraud (SEC Litigation Release No. 24295)