Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

April 27, 2019

Cantor Fitzgerald Doesn't Want This Woman Talking About Her Mug in Court / Lee Stowell says she was bullied and harassed at a Wall Street brokerage. She wants her day in court. ( / Businessweek)

Many Rivers to Cross But Stockbroker Just Can't Find His Way Over FINRA 
( Blog)

Report on Use of 2018 Fine Monies (FINRA Release)

FINRA Sanctions Firm for 4 Years of Non-Compliant AML Testing. In the Matter of Gelband & Co., Respondent 

FINRA Sanctions Firm and Its Principal for Supervisory Lapses. In the Matter of Buckman, Buckman & Reid, Inc. and Harry John "Chip" Buckman,Jr., Respondents

Celadon Group, Inc. Enters into Corporate Resolution for Securities Fraud and Agrees to Pay $42.2 Million in Restitution / Trucking Company Admits Executives Hid Losses in Aging Trucking Fleet and Lied to Auditors Investigating Allegations (DOJ Release)

SEC Charges Truckload Freight Company With Accounting Fraud (SEC Release)

Former Broker Ordered to Pay Disgorgement and Penalties (SEC Release)

Conman Who Pretended to Be Beverage Entrepreneur Pleads Guilty to Federal Fraud Charges Stemming from $5 Million Ponzi Scheme (DOJ Release)

Lawton Woman Pleads Guilty to Fraud Involving More Than $7 Million (DOJ Release)

FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs ( Blog)

Dickson Attorney Sentenced To Federal Prison For Stealing Over $1.36 Million From Trust Funds Of Clients / Victims Include Daughter of Tennessee State Trooper Killed in the Line of Duty (DOJ Release)

Former JP Morgan Rep Wins One and Loses One Expungement Request. In the Matter of the Arbitration Between Rhyan Khawar Young, Claimant, v. J.P. Morgan Securities, LLC, Respondent (FINRA Arbitration Decision)

SEC Charges Microcap Fraudster with Running a Pump-and-Dump Scheme (SEC Release)

Custodian of Books and Records / SEC Approves Amendments to FINRA Rule 4570 (FINRA Regulatory Notice 19-16)

FINRA Does NOT Find Untimely Disclosure of Tax Liens "Willful". In the Matter of Guy Michael Cheatham, Respondent (FINRA AWC)