Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 16, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

Greenfield Woman Sentenced for Conspiracy to Hide $486,000 from Federally Insured Financial Institution (DOJ Release)

[In]Securities Guest Blog: What's My Name? by Aegis Frumento Esq ( Blog)

OATH Corporation CEO Sentenced For Wire, Tax, And Bankruptcy Fraud (DOJ Release)

FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer's Beneficiary or Holding a Position of Trust for or on Behalf of a Customer / Comment Period Expires: January 10, 2020 (FINRA Regulatory Notice 19-36)

FINRA Fines and Suspends Rep for Exercising POA in Relative's Away Account. In the Matter of  John Steven Mullaly, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Borrowing from Customers.  In the Matter of Ralph G. Adamo, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Check Kiting. In the Matter of Rockney F. Garcia, Respondent (FINRA AWC)