Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 17, 2019















Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA
(BrokeAndBroker.com Blog)

10Cir Affirms SEC's Sanctions of Dennis J. Malouf. Dennis J. Malouf, Petitioner, v. Securities and Exchange Commission, Respondent (Opinion, 10Cir.)

SEC Stops Recidivist's Fraud Before Investors Are Harmed (SEC Release)

SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme (SEC Release)

FINRA Arbitrators Award Damages in Petersen Investments Employment Dispute. In the Matter of the Arbitration Between Vincent Miller, Jonathan Staiman, William Miller, David Robert, and Alan Green, Claimants, v. Petersen Investments, Inc., Bertram James Riley, Sr., and Bertram James Riley, Jr., Respondents (FINRA Arbitration Decision)

Expungement Recommended by FINRA Arbitrator in Stop Loss Dispute. In the Matter of the Arbitration Between Gary Lawrence Wageman, Claimant, v. LPL Financial LLC, Respondent (FINRA Arbitration Decision)

FINRA Small Firm Member Board of Governors Election / Voting Ends August 19, 2019 / VOTE for LINDE MURPHY


FINRA Censures and Fines Member Firm for 13 Unregistered Prop Traders. In the Matter of Seven Points Capital, LLC, Respondent (FINRA AWC) 

Pro Se Customer Alleges Unsuitability of Self Directed Put Sales
(BrokeAndBroker.com Blog). 

Conman Who Posed as Beverage Entrepreneur Sentenced to more than 7 Years in Federal Prison for Running $7.5 Million Ponzi Scheme (DOJ Release)

Manhattan U.S. Attorney Announces Insider Trading Charges Against Analyst At Investment Bank (DOJ Release)

SEC Charges Investment Banking Analyst with Insider Trading (SEC Release)

SEC Obtains Final Judgment Against Second Defendant in Fitbit Stock Manipulation Scheme (SEC Release)

SEC Charges Massachusetts Investment Adviser with Persuading Retail Investors to Place Money Into an Apparent Overseas Scam (SEC Release)

FINRA Small Firm Member Board of Governors Election / Voting Ends August 19, 2019 / VOTE for LINDE MURPHY