Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

December 22, 2018

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4346/securities-industry-commentator/

Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't (BrokeAndBroker.com Blog)

2019 EXAMINATION PRIORITIES / Office of Compliance Inspections and Examinations (SEC Report)

FBI Arrests Former Washington Resident who Fraudulently Promoted IPO Stock Scheme / Allegedly Defrauded Investors of Millions of Dollars by Posing as a British Billionaire with Inside Track on New Companies (DOJ Release)

Microcap Company CEO Sentenced to 52 Months in Prison for Securities Fraud / Falsely Claimed Millions in Revenue from Contracts with Foreign Countries (DOJ Release)

Criminal Charges Filed in Alaska in Conjunction with the Seizure of Websites Offering DDoS-For-Hire Services / Authorities Target So-Called "Booter" or "Stresser" Services that Facilitate Internet Attacks (DOJ Release)

Two Chinese Hackers Associated With The Ministry Of State Security Charged With Global Computer Intrusion Campaigns Targeting Intellectual Property And Confidential Business Information /Defendants Were Members of the APT 10 Hacking Group Who Acted in Association with the Tianjin State Security Bureau and Engaged in Global Computer Intrusions for More Than a Decade, Continuing into 2018, Including Thefts from Managed Service Providers and (DOJ Release)

Disclosure of Hedging by Employees, Officers and Directors (SEC Release)

In the Matter of David Pruitt, CPA (SEC Order Granting in Part Motion for More Definite Statement)

In the Matter of Tradition Securities and Derivatives, Inc., Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4345/securities-industry-commentator/

SEC Adopts Transaction Fee Pilot for NMS Stocks (Release No. 2018-298)

SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A (Release No. 2018-297)

SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors (Release No. 2018-296)

SEC Proposes Rule Changes for Fund of Funds Arrangements (Release No. 2018-295)

SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps (Release No. 2018-294)

SEC Adopts Rule of Practice 194 (Release No. 2018-293)

SEC Approves 2019 PCAOB Budget and Accounting Support Fee (Release No. 2018-292)

Statement at Open Meeting on Proposed Rule 12d1-4 under the Investment Company Act of 1940 Governing Fund of Funds Arrangements by Commissioner Kara M. Stein

Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps by Commissioner Kara M. Stein

Statement on Rule 194, Applications By Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps by Commissioner Kara M. Stein

Final Rules Regarding Disqualified Actors in the Security-Based Swaps Market by Commissioner Robert J. Jackson, Jr.

Statement on the Commission's Consideration of the Public Company Accounting Oversight Board's Proposed 2019 Budget and Accounting Support Fee by Commissioner Kara M. Stein

9 Defendants Charged in Chicago in International Investigation Targeting "Romance Scams" and "Mystery Shopper" Schemes (DOJ Release)

GUEST BLOG: Dishonorable Services by Aegis Frumento Esq. (BrokeAndBroker.com Blog)

Manhattan U.S. Attorney Announces Bank Secrecy Act Charges Against Kansas Broker Dealer / Charge to Be Deferred For Two Years Under an Agreement Requiring Central States Capital Market to Admit Its Conduct and Pay Penalty of $400,000 (DOJ Release)

Former Investment Bank Employee Pleads Guilty To Insider Trading Scheme (DOJ Release)

SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors (SEC Release)

CFTC and State of Utah Amend Their Complaint Against Rust Rare Coin and Gaylen Rust to Charge Additional Defendants for Participating in $200 Million Salt Lake City Precious Metals Ponzi Scheme (CFTC Release)

CFTC Charges Chicago-area Trader with Ongoing Forex and Commodity Fraud (CFTC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4344/securities-industry-commentator/

E*Trade Loses Shocking FINRA Margin Call Arbitration (BrokeAndBroker.com Blog)

Recidivist Fraudster Douglas E. Castle Sentenced To More Than Four Years In Prison For Defrauding Investors (DOJ Release)

Nigerian Ringleader of International Investment Scam Charged with Fraud, Money Laundering and Identity Theft / Scheme Allegedly Defrauded Victims in More Than 20 Countries of More Than $7 Million (DOJ Release)

In the Matter of Chris D. Rosenthal, Respondent (SEC Order)

In the Matter of Paul A. Margis Respondent (SEC Order)

In the Matter of Takeshi "Tyrone" Uonaga, Respondent (SEC Order)

SEC Solicits Public Comment on Earnings Releases and Quarterly Reports (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4343/securities-industry-commentator/

Don't Be a Mule / FBI Joins International Campaign to Stop Money Mules (FBI Release)

Bonus Coverage: Don't Be A Spiderman;
Don't Be a Mary Poppins: and
Don't Be An Aquaman

Broward County Resident Convicted by Trial Jury of Participating in a Two Million Dollar Securities Fraud Conspiracy Scheme that Targeted the Elderly (DOJ Release)

In the Matter of the Bank of New York Mellon, Respondent (SEC Order )

SEC Sues Orange County Investment Adviser for Defrauding Clients (SEC Release)

Former New York Bank Branch Manager Pleads Guilty To Multimillion-Dollar Bank Fraud Scheme (DOJ Release)

FINRA Fines UBS $5 Million for Significant Deficiencies in Anti-Money Laundering Programs / UBS to Pay $15 Million Total Fine to FINRA, SEC and FinCEN (FINRA Release / AWC)

Florida Man Pleads Guilty in $28 Million Solar Farm Ponzi Scheme (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4342/securities-industry-commentator/

SEC Obtains Asset Freeze Against Former CEO Charged with Misappropriating Investor Funds (SEC Release)

Former Broker-Dealer Pleads Guilty to Stock Manipulation / Defendant Misled Investors into Purchasing Artificially Inflated Stock in Publicly Traded Companies (DOJ Release)

Pro Se Public Customer Walks Out Of FINRA Arbitration Hearing Room (BrokeAndBroker.com Blog)

Statement Before the SEC Investor Advisory Committee (Richard W. Berry, Executive Vice President, FINRA Dispute Resolution)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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