Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 20, 2021

DreamFunded Dream Faded At FINRA And SEC Declines to Stay Expulsions and Bars ( Blog)

Justice Department Requires Substantial Divestitures and Waiver of a Non-Compete for S&P to Proceed with its Merger with IHS Markit / Divestitures Will Preserve Competition Among Commodity Price Reporting Agencies and Waiver of Non-Compete Will Promote Competition for the Sale of Retail Gas Price Data (DOJ Release)

Chandler Man Sentenced to 30 Months for Securities Fraud and Embezzlement (DOJ Release)

Ottawa County Man Pleads Guilty To Securities Fraud (DOJ Release)

SEC Files Subpoena Enforcement Action Against Terraform Labs and Its CEO (SEC Release)

SEC Denies Award to Whistleblower Claimant
Order Determining Whistleblower Award Claims

FINRA Suspends Rep for Alleged SBA Loan Misrepresentations
In the Matter of Kenny Mejia, Respondent (FINRA AWC)