Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

July 13, 2019

Customer's Wife Rescues Former Edward Jones Broker In Expungement Case
( Blog)

Former IT Administrator Sentenced to More than 2 Years in Prison for Hacking into His Ex-Employer's Computers, Deleting Their Files (DOJ Release)

Rhode Island Man Charged In Connection With Business Email Compromise Fraud Targeting Massachusetts Lawyer (DOJ Release)

Platinum Partners' Founder and CIO Mark Nordlicht and Co-CIO David Levy Convicted of Defrauding Bondholders in a Multi-Million Dollar Scheme / Defendants Orchestrated a Rigged Vote Relating to $150 Million in Bonds (DOJ Release)

FINRA Arbitrator Recommends Expungement and Finds Lawyer's Letter Not Equivalent to Client's Testimony. In the Matter of the Arbitration Between Wilson Blanton Garnett, Jr., Claimant, v. LPL Financial LLC, Respondent (FINRA Arbitration Decision)

FINRA Fines and Suspends Wells Fargo Rep for Borrowing from 94-year-old Customer. In the Matter of Linda Sue Zara, Respondent (FINRA AWC)

Financial Capability Study, Part I: Does a Rising Tide Lift All Boats? (FINRA Unscripted)

CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products (SEC Release)