Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 28, 2020

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5553/securities-industry-commentator/

OCC Assesses $250 Million Civil Money Penalty Against JPMorgan Chase Bank, N.A.

GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq (BrokeAndBroker.com Blog)

Louisiana Woman Indicted in $4.8M Elder Fraud Scheme (DOJ Release)

SEC Settles with Investment Adviser Who Failed to Disclose Conflicts of Interest and Misled Advisory Clients About the Terms of Their Investments (SEC Release)

Commissioner Stops Fraudulent Scheme Promoted to Reddit Users (TSSB Release)

FINRA Fines and Suspends Former CEO/Managing Director For Submitting Altered Documents as Supervisory Reviews

In the Matter of Kevin Paul Rast, Respondent (FINRA AWC)

SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers (SEC Release)

SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8

Opening Doors for Gig Workers to Receive Stock Compensation (by SEC Commissioners Hester M. Peirce and Elad L. Roisman)

Joint Statement on the Proposal to Facilitate Non-Cash Compensation for Certain Gig Workers (by SEC Commissioners Allison Lee and Caroline A. Crenshaw)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5552/securities-industry-commentator/

Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar (BrokeAndBroker.com Blog)

CEO Charged With Securities And Bank Fraud In Alleged Scheme To Raise Funds For Digital Advertising Company / CEO Accused of Having Corporate Executive Clients Impersonated to Raise Investments (DOJ Release)

SEC Charges E-Commerce Startup and CEO With Defrauding Investors (SEC Release)

SEC Charges Former Finance Department Employee with Insider Trading (SEC Release)

Frail, Ineffective OCIE Statement About Complex Financial Products (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5551/securities-industry-commentator/

Frail, Ineffective OCIE Statement About Complex Financial Products (BrokeAndBroker.com Blog)

Ponzi Schemer Who Bilked Investors out of Millions of Dollars is Sentenced to more than Six Years in Prison (DOJ Release)

Florida Man Charged with Manipulating Publicly Traded Stocks in Multiyear "Pump and Dump" Securities Fraud Scheme Worth Over $19 Million (DOJ Release)

Commissioner Stops Local Firm from Fraudulently Marketing Forex Investments, Making False Claims of Registration and Legitimacy (TSSB Release)

SEC Obtains Final Judgment in Offering Fraud (SEC Release)

FINRA Sanctions Firm and Former CCO/AMLCO/President Over AML Program Deficiencies

In the Matter of Southern Trust Securities, Inc. and Susan Molina Escobio, Respondents (FINRA AWC)

FINRA Arbitrator Awards Rare Attorneys' Fees to Defamed Former Wells Fargo Rep in Expungement Case

In the Matter of the Arbitration Between Amy K. Webster, Claimant, v. Wells Fargo Clearing Services, LLC, Respondent (FINRA Arbitration Award 20-01054)

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