Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

February 2, 2019

Denver Jury Convicts Attorney of Securities Fraud (DOJ Release)

Retrophin Lead Outside Counsel Greebel Suspended From Practce Before SEC
In the Matter of Evan Louis Greebel, Esq. Respondent (Order of Forthwith Suspension)

Debating the Riddle Wrapped In An Enigma of FINRA Intra-Industry Arbitration 
( Blog)

Idaho Man Sentenced for Engaging in Penny Stock Fraud and Making False Statements to the SEC (DOJ Release)

Oddball Expungement Granted by FINRA Panel In Case Not Involving Customer But Her Daughter
In the Matter of the Arbitration Between Ivan Shore, Claimant, v. Oppenheimer & Co., Inc., Respondent (FINRA Arbitration Decision)

North Carolina Man Sentenced for Stock Manipulation Scheme (DOJ Release)

FINRA Fines Silver Leaf Partners for Transaction-Based Compensation Payments
FINRA Department of Enforcement, Complainant, v. Silver Leaf Partners, LLC, Respondent (Extended Office of Hearing Officers Panel Decision)

Two Men Convicted for Roles in Multimillion Dollar Investment Fraud Scheme (DOJ Release)

SEC Imposes Bars In Settlements Involving Matters Related to Woodbridge Group of Companies, Inc.

Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors / Former Owner Robert H. Shapiro Fined $100 Million (SEC Release)

Federal crackdown on financial fraud and ATM skimming continues with guilty pleas / Two Brazilian nationals plead guilty for their roles in capturing and using account information stolen from Savannah-area bank ATMs (DOJ Release) 

Unsettled Settlement of Managed Account Goof Prompts FINRA Expungement ( Blog)

SEC Charges Atlanta Investment Adviser with Defrauding a Private Fund and Its Investors (SEC Release)

The xDedic Marketplace, A Website Involved In The Illicit Sale Of Compromised Computer Credentials And Personally Identifiable Information, Shut Down (DOJ Release)

Check Kiting by Stockbroker Ends With Career Crash
Joshua Zev Miller Respondent (FINRA AWC )

529 Plans / FINRA's 529 Plan Share Class Initiative Encourage Firms to Self-Report Potential Violations  (FINRA Notice To Members 19-04)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer