The Wall Street Legal & Regulatory Feed

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 22, 2018


You ever wonder why you can never get a reservation at a restaurant during prime time? Former Employee of Restaurant Reservation Company Charged with Fraud for Intentionally Disrupting the Business of a Competitor (DOJ Press Release)

Statement on Order of Suspension of Trading of Certain Bitcoin/Ether Tracking Certificates
Division of Trading and Markets and Division of Corporation Finance (SEC Public Statement)

Connecticut-Based Bitcoin Mining Fraudster Sentenced to Prison (SEC Litigation Release No. 24281)

CFTC Finds that Proprietary Trading Firm Geneva Trading USA, LLC Engaged in Spoofing (CFTC Release 7797-18)

UPDATE: 11Cir Sustains SEC And FINRA On Willful Failure To Disclose Tax Liens (BrokeAndBroker.com Blog)

SEC Charges Investment Adviser and Senior Officers with Defrauding Clients (SEC Litigation Release No. 24278)

SEC Charges Purported Hedge Fund and Manager with Fraudulent and Unregistered Sale of Securities (SEC Litigation Release No. 24279)

Business Services Company and Former CFO Charged With Accounting Fraud (SEC Release 2018-205)


Russian Promoters, Offshore Crypto Bank Targeted in Orders (TSSB Release)

SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze (SEC Release 2018-201)

Baltimore And Texas Men Indicted For Alleged $364 Million Ponzi Scheme -- One Of The Largest Ever Charged In Maryland / Scheme Believed to Have Over 400 Victims Nationwide, Including Individual, Family Offices, and Investment Groups - FBI Seeking Information Regarding Additional Victims; SEC has Filed Related Civil Complaint (DOJ Release)

CFTC Orders Bank of America, N.A. to Pay $30 Million Penalty for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates (CFTC Release 7794-18)

FINRA Arbitrator Tells Customers Suing Citigroup That It's Too Late Baby (BrokeAndBroker.com Blog)

SEC Charges Two Brokers with Defrauding Customers (SEC Litigation Release No. 24277)

SEC Charges Indianapolis Investment Advisers with Defrauding Retail Advisory Clients (SEC Litigation Release No. 24276)

SEC Charges Medical Aesthetics Company and Its Former CEO with Misleading Investors in a $60 Million Stock Offering (SEC Litigation Release No. 24275 )

Unfair Exchange: The State of America's Stock Markets by SEC Commissioner Robert J. Jackson (SEC Commissioner Jackson Speech)


Hackers' Cooperation with FBI Leads to Substantial Assistance in Other Complex Cybercrime Investigations / Defendants Responsible for Creating the "Mirai" and Clickfraud Botnets Continue to Assist FBI as Part of their Sentencing (DOJ Release)

CFTC Orders ICAP Capital Markets LLC to Pay $50 Million Penalty for Aiding and Abetting Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates (CFTC Release 7793-18)

Tell Me That It Really Can't Be This Easy: Pennsylvania Man Arrested For Passing Counterfeit Checks And Conspiring To Steal $3.3 Million Tax Refund From Fraudulent Tax Return (DOJ Release)

FINRA Deparment of Enforcement, Complainant, v. James Randall Clay, Respondent (Hearing Panel Decision, Office of Hearing Officers, Disc. Proc. No. 2014039775501) 

Seaworld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges / Company, Two Former Executives Charged with Misleading Investors About the Impact of Documentary On Business (SEC Litigation Release No. 24272)

Biopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug (SEC Release 2018-199)

SEC Charges Michigan Registered Representative with Misappropriating Brokerage Customer Funds (SEC Litigation Release No. 24274)

SEC Files Subpoena Enforcement Action Against John Paul Waymack (SEC Litigation Release No. 24271)





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