The Wall Street Legal & Regulatory Feed

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

March 21, 2020













A worldwide interactive map detailing the total number of confirmed 
"active," "recovered" and "fatal" COVID-19 cases

FINRA NAC Affirms OHO Findings and Bar in Exploitation of Senior Customer. In the Matter of FINRA Department of Enforcement, Complainant, vs. Peter Orlando, Respondent. (FINRA National Adjudicatory Council Decision)

Individual Indicted And Arrested For Bank Fraud And Money Laundering (DOJ Release)

FINRA Fines and Suspends MML Rep Over Vacation Rental Property Investment (BrokeAndBroker.com Blog)

Sour Taste for tastyworks In Dismissal of Customer Debit Balance Arbitration. In the Matter of the FINRA Arbitration Between tastyworks, Inc., Claimant, v. Syed Ali, Respondent (FINRA Arbitration Decision)

Corsica Man Indicted for Fraud and Money Laundering in Multi-Million-Dollar Cattle Ponzi Scheme  (DOJ Release)

Berkeley County couple sentenced for fraud (DOJ Release)

SEC Further Amends Its Complaint in Massive Market Manipulation Case to Add New Claims Against Defendant Robert Ladd (SEC Release)


SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19) (SEC Release)

CBOE Options Exchange Temporarily Shifts to Fully Electronic Trading -- SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of CBOE Physical Trading Floor (SEC Release)

SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures (SEC Release)

Citizens Securities Wins TRO in Non-Solicitation Federal Court Action (BrokeAndBroker.com Blog)

SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam (SEC Release)

Dozens charged in Atlanta-based money laundering operation that funneled $30 million in proceeds from computer fraud schemes, romance scams, and retirement account fraud (DOJ Release)

List Broker Indicted for Facilitating Elder Fraud Schemes (DOJ Release)

SEC Charges Three Individuals for Falsifying Records in Connection with Investment Adviser Ponzi Scheme Investigation (SEC Release)

SEC Charges New York Financier with Fraud (SEC Release)

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