Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 10, 2018

In Memoriam: 12 Dead At Thousand Oaks, California ( Blog)

United States Sues UBS to Recover Civil Penalties for Fraud in the Sale of Residential Mortgage-Backed Securities (DOJ Release)

Los Angeles Man Pleads Guilty to Defrauding Investors Through an $8.3 Million Binary Options Scheme (DOJ Release)

SEC Charges Husband with Insider Trading Ahead of Announcements by Wife's Employer (SEC Litigation Release No. 24340)

SEC Charges California Software Consultant with Insider Trading (SEC Litigation Release No. 24338) 

Court Bars Long Island Based Cold-Caller and His Firm from Participating in Penny Stock Offerings for Twenty-Five Years (SEC Litigation Release No. 24339)

SEC Charges Florida Man in Day Trading Scheme (SEC Litigation Release No. 24344)

SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme (SEC Litigation Release No. 24342)

Stock Research Firm and Co-Founders Charged with Deceiving Investors in Supposedly Unbiased Reports (SEC Litigation Release No. 24341)

SEC Charges EtherDelta Founder With Operating an Unregistered Exchange (SEC Release 2018-258)

SEC Charges Network Marketer with Masterminding a Multimillion Dollar Ponzi and Pyramid Scheme (SEC Litigation Release No. 24345)

Two Traders Plead Guilty to $60 Million Commodities Fraud and Spoofing Conspiracy (DOJ Release)

Former Precious Metals Trader Pleads Guilty to Commodities Fraud and Spoofing Conspiracy (DOJ Release)

Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal ( Blog)

SEC Charges Advisory Firm With Due Diligence and Monitoring Failures / Former CEO Also Charged With Causing Compliance Failures (SEC Release)

Only in America? Apparently not.UK Man Admits Role In Overseas Investment Scam (DOJ Release)

You know how you've wondered why more defendants don't try this? Well, now you know why:
Tampa Man Sentenced To Twenty-Seven Months' Imprisonment For Lying To Avoid Restitution (DOJ Release)

Shrewsbury Woman Arrested for Securities Fraud and Money Laundering (DOJ Release)

Dallas Adviser to Pay $52,569 in Fines and Reimbursed Fees (TSSB Release)

SEC Charges Businessman and Lawyer in Fraudulent EB-5 Scheme (SEC Litigation Release No. 24336)

SEC Obtains Final Judgment Against Two Nevada Companies for Their Role in a Pyramid Scheme (SEC Litigation Release No. 24335)

Defendant in $1.1 Million Nationwide Fraud Scheme Targeting Casinos and Credit Card Companies Is Sentenced / Red Hawk and Cache Creek Among the California Casinos Hit (DOJ Release)

Slam Dunk Insider Trading Case Rejected by 2nd Circuit
United States of America, Appellee, v. Sean Stewart, Defendant/Appellant (Opinion, United States Court of Appeals for the Second Circuit; 17-593) 

Head Of Stock Trading Operation Was Sentenced Today To 30 Months In Prison For Trading On Inside Information (DOJ Release)

Customer Withdrawals and Vacations At Heart of Stockbroker Expungement ( Blog)

Broker-Tech Firm Fined $25,000 for Unregistered Activity (TSSB Release)

SEC Division of Corporation Finance Staff No-Action, Interpretive & Exemptive Letters: The International Stock Exchange Authority Limited (November 2, 2018)