Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

March 23, 2019

I Gave Him 108 Months Because You Can Dance To It and It's Groovy 
Leader Of Local Hip-Hop Group Is Sentenced To Nine Years For Bank And Wire Fraud Conspiracy And Aggravated Identity Theft Charges (DOJ Release)

California Man Sentenced to 50 Months for Fraudulent Bank Accounts (DOJ Release)

Former Hedge Fund Manager Sentenced to 60 Months' Imprisonment and Ordered to Pay $14.4 Million in Forfeiture for Role in International Securities Fraud and Computer Hacking Scheme / Hackers Traded on Press Releases Stolen from Major Newswire Companies (DOJ Release)

Two Men Found Guilty in International Cyber-Fraud Scheme Involving Online Dating and Business Email Compromises (DOJ Release)

Orleans Investment Adviser Sentenced for Multi-Million Dollar Fraud and Identity Theft (DOJ Release)

Amherst Man Sentenced For Wire Fraud And Money Laundering In Scheme That Bilked Three Victims Out Of More Than $800,000 (DOJ Release)

Edelman Financial Services Loses Non-Solicit Non-Disparagement Case ( Blog)

Waddell & Reed Wins Refund of Rep's Unearned Commissions In the Matter of the Arbitration Between Waddell & Reed, Inc., Claimant, v.  Keir Dane Harner, Respondent (FINRA Arbitration Decision)

Purchase Yours Today! FINRA Secret Decoder Ring Now Available for $17 to Decipher Hidden Statutory Codes. "FINRA's OTC Quotations in Foreign Private Issues / FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)" (FINRA Regulatory Notice 19-09). 

FINRA Arbitrator Pens Powerful Rationale for Granting Expungement of Two Complaints
In the Matter of the Arbitration Between John Christian Coyle, Claimant, v. Hilltop Securities, Inc., Respondent (FINRA Arbitration Decision)

GUEST BLOG: Singin' the Varsity Blues: Leave Them Kids Alone by Aegis Frumento Esq ( Blog)

Court Penalizes Wells Fargo Securities for Disclosure Failures in 38 Studios Bond Offering (SEC Release)