Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 30, 2019

What If A Much of a Which of a Wind Gives the Truth to a FINRA Arbitration Lie? ( Blog)

Manhattan U.S. Attorney Announces Charges Against Austin Man For Computer Hacking And Fraud Scheme To Steal Unreleased Music From Music Industry Professionals (DOJ Release)

SEC Consolidates Second Tranche of FINRA Appeals Over Ineligible Expungements. In the Matter of the Consolidated Arbitration Applications for Review of Action Taken by FINRA (SEC Order Consolidating Appeals)

Pro Se Plaintiff's Case Dismissed Against FINRA and former CEO/Chair Ketchum. Sam Balabon, Spot Quote Holdings, Incorporated, Plaintiffs/Appellants, v. Richard Ketchum, Erin Vocke, Financial Industry Regulatory Authority, Incorporated, Defendants/Appellees (Opinion, 5Cir.)

FINRA Arbitration Panel Awards Damages to Charles Schwab for Dishonored Check in Customer's Account. In the Matter of the Arbitration Between Charles Schwab & Co., Inc, Claimant/Counter-Respondent, v. Terence Daniels, Respondent/Counter-Claimant (FINRA Arbitration Decision)

SEC Charges Man for Defrauding Elderly Investors (SEC Release)

Founder Of Purported Snack And Pet Food Companies Sentenced To 7 Years In Prison For Defrauding Investors Of More Than $2.9 Million / Defendant also Sentenced for Aggravated Identity Theft, Money Laundering, a Firearm Offense, and a Narcotics Offense (DOJ Release)

Former Executives and Employees of Health Technology Company Outcome Health Charged in $1 Billion Fraud Scheme (DOJ Release)

SEC Charges Former Top Executives of Healthcare Advertising Company With $487 Million Fraud (SEC Release)

SEC Charges Unregistered Broker Who Sold Woodbridge Securities to Retail Investors (SEC Release)

Alleged Fraudster Sentenced to 2 Years in Parallel Criminal Case (SEC Release)

SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies (SEC Release)