The Wall Street Legal & Regulatory Feed

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 15, 2018



Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data (SEC Release)

Deutsche Bank Securities Hit With $2 Million Award In FINRA Expungement Case (BrokeAndBroker.com Blog)

Statement Regarding SEC Staff Views (SEC Chairman Jay Clayton) 

Remarks to the SEC Investor Advisory Committee by Chairman Jay Clayton 

Statement Regarding Staff Proxy Advisory Letters by Division of Investment Managenment [sic] 

Four Defendants Sentenced Following Convictions At Trial For Stealing Confidential Government Information And Using It To Engage In Illegal Trading (DOJ Release)

In the Matter of Brett Thomas Graham (SEC Order Denying Request To Modify Settlement Order; '34 Release No. 84106 Invest. Adv. Act Release No. 5005; Invest. Co. Act Release No. 33225; Admin. Proc. File No. 3-16389)

Roger Dale Williams Sentenced To 63 Months in Prison for Phony Investment Scheme (DOJ Release)

Nigerian National Sentenced to 32 Months in Prison for Phishing Scheme That Victimized School Employees (DOJ Release)




SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme (SEC Release 2018-190)

New Jersey Broker Charged in "Cherry-Picking" Scheme (DOJ Release)

SEC Uses Data Analysis to Detect Cherry-Picking By Broker (SEC Release 2018-189)

In re: Pending Administrative Proceedings (SEC Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC; Admin. Proc. Rul. Rel. No. 5955; Admin. Proc. File Nos. 3-15006 et al)

United Technologies Charged With Violating FCPA (SEC Release 2018-188)

GUEST BLOG:How the SEC Would Run (and Ruin) Your Firm by Aegis Frumento Esq (BrokeAndBroker.com Blog)

SEC Charges Three in Crude Oil Processing Scheme (SEC Litigation Release No. 24266)

OTC Equity Trading: FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis (FINRA Notice to Members 18-29)

Latvian National Sentenced to Prison for "Scareware" Hacking Scheme That Targeted Minneapolis Star Tribune Website (DOJ Release)

Russian National Who Operated Kelihos Botnet Pleads Guilty to Fraud, Conspiracy, Computer Crime and Identity Theft Offenses (DOJ Release)













Permalink

Search RRBDLaw

Related Topics

Previous Entries

No Headlines Found

Tag Cloud

Securities Industry Commentator Bill Singer BrokeAndBroker RRBDLaw Securities Industry Commentator by Bill Singer Esq Bill Singer Esq securities industry commentator Bill Singer RRBDLAW