Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

February 16, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4434/securities-industry-commentator/

SEC Obtains Preliminary Injunction Against Blockvest LLC and Its Founder for Making Fraudulent Offers of Securities in Reconsideration of Earlier Order (SEC Release)

Stockbroker Infallibility Too High A Bar Says FINRA Arbitrator

(BrokeAndBroker.com Blog)

Merrill Lynch Loses FINRA Employment Arbitration In the Matter of

Michael Chester Casey, Claimant, v. Merrill Lynch Pierce Fenner & Smith Inc., Respondent (FINRA Arbitration Decision )

FINRA AWC Orders $2 Million Restitution For Front- and Back-End Funds Charges

In the Matter of Kes

tra Investment Services, LLC, Respondent (FINRA AWC)

No Show Stockbroker Hit with Nearly $250,000 In Damages and Fees in IRA Fraud

In the Matter of the Arbitration Between Eric Hippie, Claimant, v. Ernest Julius Romer, Respondent (FINRA Arbitration Decision)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4433/securities-industry-commentator/

Request for rulemaking to address how digital assets are regulated once a trade occurs (Public Petition to SEC for Rulemaking)

Request for rulemaking to clarify, improve and strengthen certain aspects of the SEC Whistleblower Program (Public Petition to SEC for Rulemaking)

SEC Charges Former Senior Attorney at Apple With Insider Trading (SEC Release)

Former Director Of Corporate Law At Global Technology Company Charged With Insider Trading (DOJ Release)

GUEST BLOG: To Hold and Have Not by Aegis Frumento Esq

(BrokeAndBroker.com Blog)

Deloitte Japan Charged With Violating Auditor Independence Rules (SEC Release)

Owner Of New York Investment Fund Pleads Guilty To Committing $22 Million Scheme To Defraud Investors (DOJ Release)

Man Pleads Guilty to $20 Million Fraud and Ponzi Scheme (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4432/securities-industry-commentator/

Wall Street's Biggest Traders Are Building Their Own Exchange (Bloomberg Businessweek by Nick Baker)

Lord Voldemort, Bank of America, Merrill Lynch, FINRA, And Childcare Expenses

(BrokeAndBroker.com Blog)

Six Convicted for Roles in Multi-Million Dollar Black Market Peso Exchange Money-Laundering Scheme (DOJ Release)

FINRA Says Promissory Notes Ain't What Was Promised

In the Matter of Thomas A. Gallo, Respondent (FINRA AWC)

SEC Charges Former Executives of Plastics Manufacturer with Fraud (SEC Release)

Court Imposes Lifetime Officer-And-Director Bars On Two Corporate Officers Charged with a Fraudulent Earnings Management Scheme (SEC Release)

Seven Defendants Convicted in Securities Fraud Conspiracy (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4431/securities-industry-commentator/

Statement on Shareholder Proposals Seeking to Require Mandatory Arbitration Bylaw Provisions by SEC Chairman Jay Clayton (SEC Public Statement)

SEC Division of Corporation Finance "Staff No-Action Letter" RE; Johnson & Johnson incoming letter dated December 11, 2018 (SEC No-Action Letter February 11, 2019 to Marc S. Gerber, Skadden Arps, Slate, Meagher & Flom, LLP.)

Former National Securities Corp President/CEO Sues Firm In FINRA Expungement Case (BrokeAndBroker.com Blog)

Former CEO Of Alaska-Based Fiber Optic Cable Company Pleads Guilty To Wire Fraud And Aggravated Identity Theft For Defrauding New York Investment Companies (DOJ Release)

Stockbroker fined and suspended for real-estate management outside business activities In the Matter of John Kasel, Respondent (FINRA AWC)

Stockbroker Wins Expungement of Customer Complaint Settled for $100,000 In the Matter of the Arbitration Between Dominic Fredo Galati, v. TD Ameritrade, Inc., Respondent (FINRA Arbitration Decision 18-03114)

Two Defendants in SEC Enforcement Action Plead Guilty in Parallel Criminal Case to Charges of Securities Fraud and Lying to the SEC (SEC Release)

Biotech Company Employee Pleads Guilty to Securities Fraud Charges (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4430/securities-industry-commentator/

Regulation: A View from Inside the Machine by SEC Commissioner Hester Peirce (Remarks at Protecting the Public While Fostering Innovation and Entrepreneurship: First Principles for Optimal Regulation / University of Missouri School of Law)

Founder And President Of Online Gaming Company Charged In Manhattan Federal Court For Participating In Multimillion-Dollar Fraud Scheme / Robert Alexander Charged with Lying to Investors and Misappropriating Investor Funds (DOJ Release)

Merrill Lynch Stockbroker Crashes And Burns Over Class B Shares Limits (BrokeAndBroker.com Blog)

SEC Obtains Final Judgment Against New Jersey Resident Charged with Ponzi Scheme Targeting Retail Investors (SEC Release)

Training Accounts Used To Defraud Customers In the Matter of Christopher Eikenberry, Respondent (SEC Order)

What Part of "Demand" In "Demand Loan" Are You Not Getting? In the Matter of the Arbitration Between David Yusupov, Claimant, v. TD Ameritrade, Inc., Respondent (FINRA Arbitration Decision)

In the Matter of Joseph S. Amundsen, CPA, Michael T. Remus, CPA, and Michael Remus CPA, Respondents. (SEC Order)

Federal Judge in Del Rio Sentences Three Men to Prison for Multi-Million Dollar Investment Scheme (DOJ Release)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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