Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 30, 2021













Joint Statement Regarding Ongoing Market Volatility by Acting Chair Allison Herren Lee; Pete Driscoll, Director, Division of Examinations; and Christian Sabella, Acting Director, Division of Trading and Markets (SEC Release / January 27, 2021)

SEC Charges New Jersey Insurance Agent with Defrauding Investors (SEC Release)

Marketing Company Agrees to Pay $150 Million for Facilitating Elder Fraud Schemes / Victims of Schemes to Receive $127.5 Million (DOJ Release)

Investment Fraudster Sentenced / Adviser Who Claimed to Invest in Fracking Defrauded Unsuspecting Family (FBI Release)

SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud (SEC Release)

Something's Coming From FINRA But I Don't Know What It Is (BrokeAndBroker.com Blog)

A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration (BrokeAndBroker.com Blog)