Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 11, 2020

Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory ( Blog)

Co-Founder Of Investment Fund Pleads Guilty To Conspiracy, Securities Fraud, Wire Fraud, And Investment Adviser Fraud Charges / Jason Rhodes Pleads Guilty to Participating in Multimillion-Dollar Fraud Scheme (DOJ Release)

Founder And President Of Online Gaming Company Pleads Guilty To Securities And Wire Fraud (DOJ Release)

Two Defendants Posing as Booking Agents for Famous Entertainers Arrested for Fraudulent Scheme / Allegedly Claimed They Could Book Justin Timberlake and Bruno Mars To Perform at a Concert Benefitting the Sandy Hook Promise Foundation (DOJ Release)

Former Long Island Investment Advisor Sentenced to 170 Months in Prison for Multi-Million Dollar Securities Fraud and Ponzi Scheme / Defendant Defrauded Dozens of Elderly Investors of Over $13 Million (DOJ Release)

Rockland County Man Pleads Guilty To Defrauding Investors (DOJ Release)

FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter (FINRA Release)

FINRA  Fines and Suspends Former Morgan Stanley Rep Over Private Securities Transactions. In the Matter of James R Willing, Respondent (FINRA AWC 2018057629501)