Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

November 10, 2018

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4280/securities-industry-commentator/

In Memoriam: 12 Dead At Thousand Oaks, California (BrokeAndBroker.com Blog)

United States Sues UBS to Recover Civil Penalties for Fraud in the Sale of Residential Mortgage-Backed Securities (DOJ Release)

Los Angeles Man Pleads Guilty to Defrauding Investors Through an $8.3 Million Binary Options Scheme (DOJ Release)

SEC Charges Husband with Insider Trading Ahead of Announcements by Wife's Employer (SEC Litigation Release No. 24340)

SEC Charges California Software Consultant with Insider Trading (SEC Litigation Release No. 24338)

Court Bars Long Island Based Cold-Caller and His Firm from Participating in Penny Stock Offerings for Twenty-Five Years (SEC Litigation Release No. 24339)

SEC Charges Florida Man in Day Trading Scheme (SEC Litigation Release No. 24344)

SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme (SEC Litigation Release No. 24342)

Stock Research Firm and Co-Founders Charged with Deceiving Investors in Supposedly Unbiased Reports (SEC Litigation Release No. 24341)

SEC Charges EtherDelta Founder With Operating an Unregistered Exchange (SEC Release 2018-258)

SEC Charges Network Marketer with Masterminding a Multimillion Dollar Ponzi and Pyramid Scheme (SEC Litigation Release No. 24345)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4279/securities-industry-commentator/

Former Commodities Trading Executive Arrested For Scheme To Defraud Employer By Hiding Trading Losses (DOJ Release)

Manhattan U.S. Attorney Announces Conviction Of Radio Talk Show Host Craig Carton For Securities And Wire Fraud (DOJ Release)

In the Matter of Citibank, N.A., Respondent (Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanction and a Cease-and-Desist; '33 Act Rel. No. 10571; Admin. Proc. File No. 3-18886)

GUEST BLOG: A Pulitzer Prize for Risk Disclosures? by Aegis J. Frumento Esq

(BrokeAndBroker.com Blog)

Man Accused of Being Serial Fraudster Taken into Federal Custody for Allegedly Bilking People while Free on Bond in Prior Case (DOJ Release)

SEC Charges ITG With Misleading Dark Pool Subscribers (SEC Release 2018-256)

Self-styled "Financial Advisor" Ordered to Prison after Defrauding Professional Athletes Out of Millions (DOJ Release)

From Australia to Texas Oil Patch, Crypto-Mining Promoters Recruiting for Pyramid Sales Network (TSSB Release)

Two Men Found Guilty Of Wire Fraud And Money Laundering In Connection With Telemarketing Fraud Scheme Targeting The Elderly (DOJ Release)

Remarks to the SEC Investor Advisory Committee By SEC Chairman Jay Clayton

SEC Files Charges in Municipal Bond "Flipping" and Kickback Schemes (SEC Litigation Release No. 24337)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4278/securities-industry-commentator/

Two Traders Plead Guilty to $60 Million Commodities Fraud and Spoofing Conspiracy (DOJ Release)

Former Precious Metals Trader Pleads Guilty to Commodities Fraud and Spoofing Conspiracy (DOJ Release)

Buyer's Remorse Over Industry Bar Prompts Epic SEC Appeal (BrokeAndBroker.com Blog)

SEC Charges Advisory Firm With Due Diligence and Monitoring Failures / Former CEO Also Charged With Causing Compliance Failures (SEC Release)

Only in America? Apparently not.UK Man Admits Role In Overseas Investment Scam (DOJ Release)

You know how you've wondered why more defendants don't try this? Well, now you know why:

Tampa Man Sentenced To Twenty-Seven Months' Imprisonment For Lying To Avoid Restitution (DOJ Release)

Shrewsbury Woman Arrested for Securities Fraud and Money Laundering (DOJ Release)

Dallas Adviser to Pay $52,569 in Fines and Reimbursed Fees (TSSB Release)

SEC Charges Businessman and Lawyer in Fraudulent EB-5 Scheme (SEC Litigation Release No. 24336)

SEC Obtains Final Judgment Against Two Nevada Companies for Their Role in a Pyramid Scheme (SEC Litigation Release No. 24335)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4277/securities-industry-commentator/

Why would you risk your savings gambling on stocks on Wall Street when you there's a no-can-lose way to make money from casinos and credit card companies? For the answer to that intriguing question:

Defendant in $1.1 Million Nationwide Fraud Scheme Targeting Casinos and Credit Card Companies Is Sentenced / Red Hawk and Cache Creek Among the California Casinos Hit (DOJ Release)

Slam Dunk Insider Trading Case Rejected by 2nd Circuit

United States of America, Appellee, v. Sean Stewart, Defendant/Appellant (Opinion, United States Court of Appeals for the Second Circuit; 17-593)

Head Of Stock Trading Operation Was Sentenced Today To 30 Months In Prison For Trading On Inside Information (DOJ Release)

Customer Withdrawals and Vacations At Heart of Stockbroker Expungement (BrokeAndBroker.com Blog)

Broker-Tech Firm Fined $25,000 for Unregistered Activity (TSSB Release)

SEC Division of Corporation Finance Staff No-Action, Interpretive & Exemptive Letters: The International Stock Exchange Authority Limited (November 2, 2018)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4276/securities-industry-commentator/

The Morris Worm / 30 Years Since First Major Attack on the Internet (FBI Release)

SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling (SEC Release 2018-253)

Sole Beneficary Grandnephew Sues Morgan Stanley Questioning Mom's Capabilities (BrokeAndBroker.com Blog)

Online Marketers Charged with Conning Main Street Investors Through Rags-To-Riches Infomercials (SEC Litigation Release No. 24333)

SEC Charges Investment Adviser with Running $3.9 Million Fraud (SEC Litigation Release No. 24334)

Investment Adviser Settles SEC Fraud Charges (SEC Litigation Release No. 24331)

SEC Charges Family Friend of Former Investment Banker With Insider Trading (SEC Release 2018-251)

Businessman Pleads Guilty to Investment Fraud Scheme (DOJ Release)

Court Bars Former CEO of Florida-Based Franchising Company from Serving as an Officer or Director of Public Companies and from Penny Stock Offerings (SEC Litigation Release No. 24332)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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