Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 22, 2019

Orange is the new black for Aequitas execs as Ponzi nightmare nears end-game with jail time ( by Oisen Breen)

Puhlease tell me that it can't be this easy. And then tell me how Dan Dxrams becomes Dan Kusi.
Two New Jersey Men Found Guilty in Phony Debt Elimination Scheme (DOJ Release)

Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration ( Blog)

Walmart Inc. and Brazil-Based Subsidiary Agree to Pay $137 Million to Resolve Foreign Corrupt Practices Act Case (DOJ Release)

Walmart Charged With FCPA Violations (SEC Release)

SEC Freezes Assets in International Manipulative Trading Scheme (DOJ Release)

Twenty-One Individuals Indicted on Charges of Conspiracy to Commit Interstate Transportation of Stolen Used Cooking Oil, Money Laundering, Harboring Aliens, and Immigration-Related Entrepreneurship Fraud (DOJ Release)

SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors (SEC Release)

FINRA Fines Edward D. Jones & Co. for Understating Customers' Damages. In the Matter of Edward D. Jones & Co., L.P., Respondent (FINRA AWC)

FINRA Fines Citigroup Global Markets for UIT Sales Charge Discounts. In the Matter of Citigroup Global Markets Inc, Respondent (FINRA AWC )

Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) (

2019 FINRA Board of Governors Election ( Blog)

New Jersey Broker Pleads Guilty In "Cherry-Picking" Scheme (DOJ Release)

Former stockbroker sentenced for defrauding clients (DOJ Release)

Second New York Broker-Dealer Pleads Guilty To Rigging Bids for Financial Instruments in Violation of Antitrust Law / Sentenced to Criminal Fine in Excess of $3 Million (DOJ Release)

Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs (SEC Release)

Chairman And Senior Executive Of Venture Capital Funds Charged In Manhattan Federal Court With Securities Fraud And Wire Fraud / David Wagner and Marc Lawrence Defrauded More than 30 Investors of $8 Million and Misappropriated Investor Funds (DOJ Release)

SEC Files Fraud Charges in Healthcare Investment Scheme (SEC Release)

SEC Charges North Carolina Businessman and His Companies with Fraudulent Offering Scam (SEC Release)

Pennsylvania Woman Charged with Fraud For Perpetrating "Grandparents Scheme" (DOJ Release)