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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 28, 2019


SEC Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options (SEC Release)

Federal Courts Troubled by Punitive SEC Injunction. Securities and Exchange Commission, Appellant, v. Guy Gentile (Opinion, United States Court of Appeals for the Third Circuit ("3Cir"), No. 18-1242)

FINRA Bars Rep Who Knew Someone (BrokeAndBroker.com Blog)

Taking Significant Steps to Modernize Our Regulatory Framework (SEC Chair Jay Clayton)

District Court Issues Order Directing OneCoin-Related Parties To Show Cause Regarding Any Claimed Attorney-Client Privilege (DOJ Release)

Former CEO Pleads Guilty In Scheme To Defraud Elderly Victims In The Sale Of Worthless Stock (DOJ Release)

FINRA Sanctions Member Firm Non-Traditional ETFs, Private Placements, and Escrow Issues. In the Matter of Newbridge Securities Corporation and Bruce H. Jordan, Respondents (FINRA AWC)

Tampa Man Sentenced To Nearly Four Years And Ordered To Pay Over $1.2 Million To Victims Of Dialing-For-Dollars Fraud Scheme (DOJ Release)

Former Investment Banker Found Guilty of Insider Trading in Second Criminal Trial (DOJ Release)

SEC Charges Marketing and Printing Services Provider with FCPA Violations (SEC Release)


Lynn Man Sentenced for Multi-Million Dollar Lottery Ticket Scam (DOJ Release)

[I]nSecurities GUEST BLOG: Fantasy by Aegis Frumento Esq 
(BrokeAndBroker.com Blog)

SEC Obtains Final Judgments and Bars Against Former Investment Adviser and Senior Officers for Fraudulent "Cherry-Picking" Scheme (SEC Release)

Ithaca-Area CPA Sentenced to 87 Months for Bankruptcy Fraud, Mail Fraud, and Money Laundering / Andrew  N. LaVigne Ordered to Pay Over $3.6 Million in Restitution to Victims (DOJ Release)

Florida Man Pleads Guilty to Wire Fraud as Part of an Investment Fraud Scheme Involving Baton Rouge Area Victims (DOJ Release)

SEC Charges PetMed Express Former Executive with Repeated Insider Trading (SEC Release)

SEC Charges Principals of Music Entertainment Company with Multi-Million Dollar Offering Frauds and Ponzi Schemes (SEC Release)

SEC Obtains Final Judgment Against Former Officers of Wilmington Trust (SEC Release)


Operators Of U.S. Coin Bullion, LLC To Plead Guilty To More Than $7 Million In Fraud (DOJ Release)

SEC Brings New Charges in Multimillion Dollar Boiler-Room Schemes (SEC Release)

FINRA Arbitrators Angered By Raymond James Tactics (BrokeAndBroker.com Blog)

Additional Individual Involved in a Pump-And-Dump Scheme (SEC Release)

SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information (SEC Release)

SEC Charges Microcap Company and Executives for Fraudulently Inflating Reported Interests in Gold Mines (SEC Release)

SEC Charges Alabama Real Estate Developer and Others with Insider Trading (SEC Release)

SEC Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud (SEC Release)

FINRA Fines Firm Over Initial Margin Rate Disclosures to Customers. In the Matter of Hilltop Securities Inc., Respondent (FINRA AWC)

Remarks at the U.S. Treasury Market Conference by SEC Commissioner Elad L. Roisman (SEC Speech)

Oversight of the Securities and Exchange Commission: Wall Street's Cop on the Beat (SEC Testimony)


Russian Hacker Pleads Guilty For Involvement In Massive Network Intrusions At U.S. Financial Institutions, Brokerage Firms, A Major News Publication, And Other Companies (DOJ Release)

SEC Charges PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct (SEC Release)

SEC Charges Nissan, Former CEO, and Former Director with Fraudulently Concealing from Investors More than $140 Million of Compensation and Retirement Benefits (SEC Release)

SEC Charges Founder and CEO of Purported Online Adult Entertainment Marketplace with Fraudulent ICO Scheme (SEC Release)

Milwaukee Financial Advisor Sentenced to 30 Months in Federal Prison for Fraud Scheme that Targeted Elderly Victims (DOJ Release)

Client Associate Takes 4 Years of Rep's CE (BrokeAndBroker.com Blog)

SEC Charges Previously-Barred Broker and His Firm with Offering Fraud (SEC Release)

Former Investment Banker Convicted At Trial For Insider Trading Scheme (DOJ Release)

"The SEC Has Processes to Manage Information Technology Investments but Improvements Are Needed" (SEC Office of Inspector General / Office of Audits)


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