Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

January 19, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

Prominent Global Law Firm Agrees to Register as an Agent of a Foreign Principal / Civil settlement resolves Department of Justice national security inquiry into violations of the Foreign Agents Registration Act (DOJ Release)

State of the Union: Clowns to the Left, Jokers to the Right ( Blog)

Arbitrator Rules in E*Trade's Favor in Market Manipulation Arbitration And Laments Inability to Sanction Customer Claimant
In the Matter of the Arbitration Between John Mercaldi, Claimant, v. E*Trade Securities Inc., Responsent (FINRA Arbitration) Crash Complaint Expunged
In the Matter of the Arbitration Between Steven Patrick Flagg, Claimant, v. UBS Financial Services Inc., Respondent (FINRA Arbitration)