Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 12, 2020

FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed ( Blog)

Antitrust Division Announces Updates To Civil Investigative Demand Forms And Deposition Process (DOJ Release)

SEC Charges Connecticut Investment Adviser with Defrauding Retired Couple (SEC Release)

SEC Charges New Jersey-Based Investment Adviser and Its President with Defrauding Clients (SEC Release)

SEC Obtains Final Judgment Against Investment Adviser for Defrauding Elderly Client (SEC Release)

SEC Obtains Final Judgment Against Former VP of Telecommunications Expense Management Company (SEC Release)

SEC Charges Two Former Petmed Executives with Insider Trading (SEC Release)

FINRA Arbitrators Award Damages to Firm Against Principal/CCO/AMLCO/FINOP
In the Matter of the Arbitration Between Auto Aftermarket Securities, LLC, Claimant, v. Josef Schaible, Respondent (FINRA Arbitration Award)