The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
March 16, 2019
In the Matter of Allan Michael Roth (SEC Order Denying Respondent's Motion to Postpone Filing Answer Indefinitely)
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell
(BrokeAndBroker.com Blog)
In the Matter of the Arbitration Between Jennifer Goldstein and Kevin O'Malley, Claimants, v.
BGC Financial, L.P. and Louis Scotto, Respondents (FINRA Arbitration Decision)
In the Matter of the Arbitration Between Stephen Brice, John Drake, Elizabeth Drake, and Cathy MenneIla, Claimants, v. American Capital Partners, LLC, Trident Partners Ltd., and Timothy Vincent Longo,Respondents
-and-
Trident Partners Ltd., Crossclaim-Claimant / Crossclaim-Respondent v. Timothy Vincent Longo, Crossclaim-Respondent / Crossclaim-Claimant
(FINRA Arbitration Decision)
Arrests Made in Nationwide College Admissions Scam: Alleged Exam Cheating & Athletic Recruitment Scheme (DOJ Release)
SEC Charges Lumber Liquidators With Fraud (SEC Release)
FINRA Finds (AGAIN!) That Ameriprise Stockbroker Altered and Concealed Evidence in Customer Arbitration
(BrokeAndBroker.com Blog)
Father And Son Convicted of Multimillion-Dollar Investment Fraud Scheme (DOJ Release)
SEC Charges Texas Radio Host "The Money Doctor," Halts Ponzi Scheme Targeting Elderly Investors (SEC Release)
Pinellas Man Sentenced To Seven Years In Prison For Telemarketing Scam (DOJ Release)
Three defendants and an India-based call center indicted in phone scam targeting U.S. victims (DOJ Release)
Love (and customer complaints) mean never having to say you're "sorry" In the Matter of the Arbitration Between Evan Robin Guido, Claimant, v. Robert W. Baird & Co. Incorporated, Respondent (FINRA Arbitration Decision)