Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

March 9, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4467/securities-industry-commentator/

Wooster man indicted after making threats purporting to be from women associated with an adult website (DOJ Release)

Foiling an Elder Fraud Scam / Former FBI Director Webster Assists Investigation (FBI Release)

Equity Market Structure 2019: Looking Back & Moving Forward (Remarks at the Gabelli School of Business, Fordham University by SEC Chairman Jay Clayton and Director, Division of Trading and Markets, Brett Redfearn)

Wife Says JP Morgan and Stockbroker Scammed Her In ReFi of Ex-Husband's Mortgage
(BrokeAndBroker.com Blog)

Former Investment Advisor Sentenced for Fraud and Perjury (DOJ Release)

New Jersey Man Sentenced To 21 Months Prison For Participation In Ticket Investment Scheme (DOJ Release)

Three Former Mozambican Government Officials and Five Business Executives Indicted in Alleged $2 Billion Fraud and Money Laundering Scheme That Victimized U.S. Investors / More Than $200 Million in Alleged Bribes and Kickbacks Paid to Mozambican Government Officials and Investment Bankers (DOJ Release)

Long Island Woman Arrested for Stealing More Than $10 Million in Fraudulent Real Estate Investment Scheme / Defendant Promised Investors Profits from the Sale of Three Skyscrapers in Japan that She Falsely Claimed to Have Inherited (DOJ Release)

Clinton Man Sentenced for $4.7 Million Cattle Investment Fraud Scheme (DOJ Release)

FINRA Department of Enforcement, Complainant, v. Titan Securities; Brad C. Brooks; and Richard Wayne Demtriou, Respondents (FINRA OHO Decision)

In the Matter of Derek Allen Sunderland, LLC, Respondent (FINRA AWC)

In the Matter of Halifax America, LLC, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4466/securities-industry-commentator/

Bankrate Inc.'s Successor in Interest Agrees to Pay $28 Million to Resolve Securities and Accounting Fraud Charges (DOJ Release)

Addressing the Cyber Threat / Director Discusses FBI Approach at Cybersecurity Conference (FBI Release)

GUEST BLOG: In for a Pound by Aegis Frumento Esq. (BrokeAndBroker.com Blog)

Definition of Statutory Disqualification by FINRA In Dispute In the Matter of the Application of Gregory Acosta for Review of Action Taken by FINRA (SEC Order Requesting Additional Briefing; '34 Act Rel. No. 85257; Admin. Proc. File No. 3-18637)

SEC Obtains Final Judgments Against Australia-Based Investment Adviser (SEC Release)

In the Matter of Department of Enforcement, Complainant, v. Jim Jinkook Seol Respondent (Decision, FINRA National Adjudicatory Council, Complaint No. 2014039839101)

Interactive Brokers Ordered to Pay Over $820,000 to customer. In the Matter of the Arbitration Between Elegant Commodities DMCC and Fortune Commodities

DMCC, Claimants, v. Interactive Brokers LLC, Respondent (FINRA Arbitration Decision 17-02914 / March 5, 2019)

Purchase of Brokerage Book of Business Subject of FINRA Arbitration In the Matter of the Arbitration Between James W. Hall, II, Claimant, v. National Planning Corporation and Michael Douglas Rees, Respondent (FINRA Arbitration Decision 17-00253)

Santander Ordered to Pay $383,000 in Employee Defamation Case In the Matter of the Arbitration Between Jean M. Innucci, Claimant, V. Santander Securities, LLC, Respondent (FINRA Arbitration Decision 17-00227)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4465/securities-industry-commentator

FINRA Fines Cantor Fitzgerald $2 Million for Regulation SHO Violations and Supervisory Failures / Firm Required to Retain an Independent Consultant (FINRA Release)

BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements (SEC Release)

Pro Se Stockbroker Wins FINRA Ex;pungement of Merrill Lynch Settled Customer Complaint (BrokeAndBroker.com Blog)

New Jersey Man Convicted In Manhattan Federal Court Of Three Counts In Connection With Theft Of Over $2 Million In Stock Certificates From Deceased Manhattan Woman (DOJ Release)

Waterbury Investment Advisor Charged with Additional Counts Related to $1 Million Fraud Scheme (DOJ Release)

Festivus, Fortnite, and Focus: Remarks before the Council of Institutional Investors Spring Conference (Speech by SEC Commissioner Peirce)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4464/securities-industry-commentator/

SEC Obtains Final Judgment Against Former Broker for Defrauding Customers (SEC Release)

SEC Obtains Judgment Against China-Based Acquisition Advisor Charged with Insider Trading (SEC Release)

FINRA Arbitrators Award Ameriprise Promissory Note Damages But With Odd Statement About What Was Not Considered (BrokeAndBroker.com Blog)

SEC Seeks Subpoena Enforcement Orders (SEC Release)

Federal Court Orders Purported Metals Dealer and His Companies to Pay More Than $8 million for Fraud and Misappropriation of Customer Funds in CFTC Action (CFTC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4463/securities-industry-commentator/

Canton Man Charged as Part of Largest Ponzi Scheme in Mississippi History / Fraud Affected Hundreds of Victims Across Multiple States (DOJ Release)

Wells Fargo Promissory Note Victory Goes From FINRA Sublime to SEC Ridiculous
(BrokeAndBroker.com Blog)

West Palm Beach Investment Advisor Ordered to Pay Over $1 Million in Restitution for Fraud Scheme (DOJ Release)

Oakland Resident Pleads Guilty To Conspiring To Sell Fraudulent Financial Instruments And Underreporting Income (DOJ Release)

SEC Obtains Judgment Against Former Ohio Broker (SEC Release)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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