The Wall Street Legal & Regulatory Feed

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

December 1, 2018


























SEC Division of Enforcement Seeks Protective Order for Voicemail Inadvertently Left by SEC Counsel. Respondent Argues That The Voicemail Shows The "consistent and criminal behavior of the SEC, its ALJ and its employees" As Generally Practiced Against Small Businesses and Their Owners.  
In the Matter of Anton & Chia, LLP; Gregory A. Wahl, CPA; Michael Deutchman, CPA; Gerogia Chung, CPA; and Tommy Shek, CPA (Order, SEC, Admin Proc. Rul. Rel. No. 6361; Admin,. Proc. File No. 3-18292)

Elder Fraud / Senior Citizens Victimized in Telemarketing Scheme (FBI Release)

Son Calls FINRA Senior Helpline About Trading In Mom's Account (BrokeAndBroker.com Blog)

U.S. Attorney Liu Announces Initiative to Combat Elder Abuse and Financial Exploitation -Efforts Are Part of Nationwide Effort Led by U.S. Department of Justice (DOJ Release)

SEC Obtains Final Judgement Against Steven A. Newman (SEC Release)

In the Matter of Meridian Co., Ltd. (SEC, Order Finding Service by Email; Admin. Proc. Rul. Rel. No. 6360 ; Admin. Proc. File No. 3-18188)

Miami Beach Residents Charged with Wire Fraud in Connection with Fraudulent Online Car Sales Website (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4298/securities-industry-commentator/

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