Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

October 27, 2018

United States of America, Plaintiff/Appellee, v. Kulwant Singh Sandhu, a/k/a Ken Sandhu, Defendant/Appellant (Memorandum, United States Court of Appeals for the Ninth Circuit, 17-10265)

In the Matter of Oriental Dragon Corp. (SEC ALJ Order Granting Motion to Pursue Alternative Service; Admin. Proc. Rul. Rel. No. 6252; Admin. Proc. File No, 3-18450)

UBS Wins FINRA Mandatory Arbitration Appeal ( Blog)

Securities Attorney Sentenced to Prison for Two Market Manipulation Schemes (DOJ Release)

Two New York Diamond Merchants Convicted For Defrauding Victims Out Of More Than $12 Million In Diamonds (DOJ Release)

Manhattan United States Attorney Announces Charges Against Owner And Director Of Singapore-Based Commodities Company For North Korea Sanctions Evasion And Money Laundering Offenses (DOJ Release)

IRS Impersonator Scam Leader Sentenced to 135 Months in Prison After Stealing Millions of Dollars; Co-Conspirators Also Imprisoned (DOJ Release)

Twin Cities Construction Company Owner Sentenced To 49 Months In Prison For Defrauding Investors Out Of $880,000 (DOJ Release)

Opening Statement at the SEC Staff Roundtable on Market Data and Market Access (SEC Director, Division of Trading and Markets, Brett Redfearn)

Statement at the SEC Staff Roundtable on Market Data and Market Access ( SEC Commissioner Elad L. Roisman)

A.G. Underwood Announces $65 Million Settlement With Wells Fargo For Misleading Investors Regarding Cross-Sell Scandal / Wells Fargo Failed to Disclose to Investors that Success of Cross-Sell Efforts was Built on Misconduct - Such as Opening Millions of Fake Deposit and Credit Card Accounts; NY Investors Lost Millions when Misconduct was Disclosed / Settlement Marks Latest Martin Act Enforcement Action to Protect NY Investors and Integrity of Financial Marketplace (NYAG Release)

The Widow, Her Stockbroker Brothers In Law, The Estate, and Delay ( Blog)

SEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration (SEC Release 2018-242)

Former South Florida Attorney and Stock Promoter Charged with Conspiracy to Commit Securities Fraud in Relation to Pump and Dump Stock Manipulation Scheme (DOJ Release)

South Florida Attorney and Businessman Barred from Penny Stock Offerings for Engaging in a Microcap Pump-And-Dump Scheme (SEC Litigation Release No. 24322)

KC Man Charged in $900,000 Romance Fraud Scheme (DOJ Release)

SEC Charges Investment Adviser with Stealing from Friends, Community Members (SEC Litigation Release No. 24321)

Former Texas Company CFO Pleads Guilty to Employment Tax Fraud / Caused Tax Loss of More Than $13 Million (DOJ Release)

Atlanta man sentenced to federal prison for aggravated identity theft (DOJ Release)