Securities Industry Commentator by Bill Singer, Esq. WEEK IN REVIEW - BrokeAndBroker.com

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Securities Industry Commentator by Bill Singer, Esq. WEEK IN REVIEW

November 18, 2017

RIP Malcolm Young of AC/DC

Assistant Attorney General Makan Delrahim Delivers Keynote Address at American Bar Association's Antitrust Fall Forum (DOJ Published Speech)

Deputy Assistant Attorney General Donald G. Kempf, Jr. Delivers Remarks At American Bar Association's Antitrust Fall Forum (DOJ Published Speech)

Clever Stipulation In FINRA Expungement Arbitration (BrokeAndBroker.com Blog)

SEC Obtains Court Order to Stop "Ad Packs" Ponzi Scheme (Securities And Exchange Commission Litigation Release 23988)

PIABA: NEARLY HALF OF FINRA'S "PUBLIC GOVERNORS" HAVE INDUSTRY TIES AND OTHER CONFLICTS OF INTEREST / So-Called "Public" Members Include Hedge Fund CEO and Blackstone Board Member; PIABA Outlines Needed Reforms to Maintain Public Confidence, Proposes Alternate Slate of Real Public Members (PIABA Press Release)

Rulemaking Petition to Amend Exchange Act Rule 17a-4(f) (By letter dated November 14, 2017, as submitted to the Securities and Exchange Commission)

Securities and Exchange Commission's Division of Enforcement's 2017 Annual Report

Owner Of Payday Lending Enterprise Found Guilty By Jury Of Orchestrating $220 Million Fraudulent Lending Scheme /Defendant Extended Predatory Loans to More Than 620,000 Financially Struggling Americans, Including Victims Who Never Sought Them (Department of Justice Press Release 17-366)

Voluntary Resignation, Diversion Of Customer Funds, And FINRA Bar (BrokeAndBroker.com Blog)

Justice Department Obtains $5.4 Million in Additional Relief to Compensate Servicemembers for Unlawful Repossessions by Wells Fargo Dealer Services (Department of Justice Press Release)

SEC Charges Vail, Colorado-Based Perpetrators of Offering Fraud and Freezes Assets (Securities and Exchange Commission Litigation Release)

Humpty Dumpty, FINRA, Sharing, Guarantee, And Losses (BrokeAndBroker.com Blog)

CFTC Finds Statoil ASA Attempted to Manipulate the Argus Far East Index, a Propane Benchmark, to Benefit Statoil's NYMEX-cleared Swaps Position / Norwegian Energy Company Ordered to Pay a $4 Million Civil Monetary Penalty (CFTC Press Release pr7643-17)

Doctor And Four Executives Plead Guilty In $30 Million Scheme To Defraud Medicare And Medicaid / Defendants Fraudulently Ran Medical Clinics and Related Medical Supply and Ambulette Companies, While Paying Elderly People to Act as Patients, and Billing for Unjustified or Non-Existent Medical Goods and Services (Department of Justice Press Release)

SEC Charges Georgia Man for Defrauding Retirees (SEC Litigation Release)

SEC Obtains Judgment against Defendant Charged with Conducting an Offering Fraud (SEC Litigation Release)

Merrill Lynch Employee Fined And Suspended For Business Meals By FINRA (BrokeAndBroker.com Blog)

In the Matter of Wells Fargo Advisors, LLC, Respondent (Securities and Exchange Commission Order Instituting Administrative And Cease-And-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order / November 13, 2017)

Reflections on the Past, Present, and Future of the SEC's Enforcement of the Foreign Corrupt Practices Act (Speech, Steven R. Peikin, Co-Director, Enforcement Division at New York University School of Law, New York, NY)

California Denies Expungement Of NASD And Ohio Regulatory Disclosures (BrokeAndBroker.com Blog)

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