Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 31, 2019

FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement (FINRA Release)

FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error
( Blog)

FBI Arrests Manhattan Beach Man Facing Federal Charges Related to Movie Investment Scam that Cost Victims $14 Million (DOJ Release)

Former Financial Adviser Arrested on Fraud Charge for Allegedly Swindling Millions from Clients (DOJ Release)

SEC Charges Chicago-Based Investment Professional with Stealing Client Fund (SEC Release)

South Carolina Man Indicted for Running $1.1 Million Foreign Currency Ponzi Scheme (DOJ Release)

Philadelphia Woman Arrested in $100 Million Securities Fraud Scheme (DOJ Release)

SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud (SEC Release)

SEC Charges Real Estate Company and its Founder with $8.75 Million Offering Fraud (SEC Release)

SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud  (SEC Release)

FINRA Bars Allstate Insurance Agency Owner Over IRA Witholdings. In the Matter of Kari Ann Buckles, Respondent (FINRA AWC)

Three Defendants Indicted for Transnational Fraud Scheme / Callers Based in India Impersonated Federal Employees and Netted Over $2 Million From Victims Across the United States (DOJ Release)

Indictment Issued Against Investment Adviser Named in SEC Action (SEC Release)

Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause
( Blog)

In the Matter of Saving2Retire, LLC and Marian P. Young (SEC Initial Decision)

FINRA Fines and Suspends Three Over Precious Metals Outside Business Activity. FINRA Department of Enforcement, Complainant, v Charles Edwin Taylor, Jodi Oyler Padgett, and John Lodge Farmer, Respondent (FINRA OHO Panel Decision)

FINRA Fines and Suspends Stockbroker for Improper Trading Practices. In the Matter of Arlyn Roy Stokesbary, Respondent (FINRA AWC)