Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

October 9, 2021

FINRA NAC Affirms OHO But Eliminates Heightened Supervision ( Blog)

Founder of Russian Bank Pleads Guilty to Tax Fraud / Admits to Concealing More Than $1 Billion in Assets when Renouncing U.S. Citizenship and Agrees to Pay More Than $500 Million Penalty (DOJ Release)

SEC Charges Webcast Host for Role in Market Manipulation Scheme (SEC Release)

SEC Charges Investment Adviser, Affiliated Broker-Dealer and Their President for False and Misleading Statements and Omissions (SEC Release)

Chicago Man Charged in Federal Court With Engaging in Unauthorized Trading That Caused $30 Million in Losses (DOJ Release)

SEC Charges Rogue Trader Who Bankrupted His Firm (SEC Release)

SEC Awards Over $1.7Million to Whistleblower But Denies Award to Second Claimant 
Order Determining Whistleblower Award Claims