Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

October 12, 2019

Rochester Man Pleads Guilty To Fraud, Conspiracy, And Money Laundering In Rochester Federal Court; Charged In Federal Court In Pennsylvania As A Result Of His Role In Masterminding A Nationwide, Multi-Million Dollar Ponzi Scheme / At least 1000 Victims Bilked Out Of Over 100 Million Over A Decade (DOJ Release)

SEC Charges Four Individuals in Broker Bribery Scheme (SEC Release)

FINRA Arbitrator Recommends Expungement of Customer's Son's Complaint. In the Matter of the Arbitration Between Peter Dizdar, Claimant, v. Invest Financial Corporation, Respondent (FINRA Arbitration Decision)

No Rationale and No Explanation In FINRA Arbitration Decision ( Blog)

FINRA Bars Individual for Cheating on Series 7. FINRA Department of Enforcement, Complainant, v. Andrew P. Yoro, Respondent (FINRA OHO Default Decision)

Stanislaus County Man Admits to Defrauding Concert Promoters and Investors (DOJ Release)

New Poll Shows Strong Early-State Support for Wall Street Reform (Report)