Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

April 13, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4528/securities-industry-commentator/

Wikileaks Founder Charged in Computer Hacking Conspiracy (DOJ Release)

Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration

(BrokeAndBroker.com Blog)

Get Your Motor Runnin'. Head Out on the West Side Highway (or FDR Drive). In the Matter of Edward M. Daspin, a/k/a "Edward (Ed) Michael", Luigi Agostini, and Lawrence R. Lux (Final Prehearing Order)

LPL Pays $450,000 to Texas for Selling Unregistered Securities (TSSB Release)

FINRA AWC Addresses 74 Forgeries by Sales Assistant. In the Matter of Denise Marie Bucci Respondent (FINRA AWC)

Willful Failure to Disclose Felony Charge and Plea Prompt FINRA Fine And Suspension.

In the Matter of Justin R. Cornelison Respondent (FINRA AWC)

Rep Fails to Fully Disclose Nature of Outside Business Activities And Is Fined Suspended by FINRA.

In the Matter of Jason Lane Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4527/securities-industry-commentator/

Arbitrators Award Jefferies $1 Million Liquidated Damages Against Investment Banker. In the Matter of the Arbitration Between Jefferies, LLC, Claimant/Counter-Respondent, v. Jon Alan Gegenheimer, Respondent/Counter-Claimant (FINRA Arbitration Decision)

Husband Of Former Employee Of New Jersey Bank Sentenced To 27 Months In Prison For Stealing Client Information And Funds (DOJ Release)

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

SEC Charges New Jersey Investment Adviser with Securities Fraud (SEC Release)

Expungement Granted By Arbitrator Who Found Customers Caused Their Own Losses. In the Matter of the Arbitration Between Eric A. Dupre, Claimant, v. Raymond, James & Associates, Inc. and UBS Financial Services Inc., Respondents (FINRA Arbitration Decision)

FINRA Bars Rep In Non-Payment of Customer Loan. In the Matter of Michael Paul Lessard, Jr, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4526/securities-industry-commentator/

Standard Chartered Bank Admits to Illegally Processing Transactions in Violation of Iranian Sanctions and Agrees to Pay More Than $1 Billion / Iranian National Indicted and Former SCB Employee Pleaded Guilty for Criminal Conspiracy to Violate Iranian Sanctions (DOJ Release)

SEC Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities (SEC Release)

Federal Indictments & Law Enforcement Actions in One of the Largest Health Care Fraud Schemes Involving Telemedicine and Durable Medical Equipment Marketing Executives Results in Charges Against 24 Individuals Responsible for Over $1.2 Billion in Losses / Hundreds of Thousands of Elderly and/or Disabled Patients Nationwide and Abroad Lured into Criminal Scheme; Center for Program Integrity, Center for Medicare Services, Takes Administrative Action Against 130 DME Companies That Submitted Over $1.7 Billion (DOJ Release)

Billion-Dollar Medicare Fraud Bust / FBI Announces Results of Operation Brace Yourself (FBI Release)

Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator

(BrokeAndBroker.com Blog)

SECret Garden: Remarks at SEC Speaks (Speech at SEC Speaks 2019 by SEC Commissioner Hester Peirce)

"Investor Alert: Robo-Advisoers" (Texas State Securities Board)

Florida Executive Sentenced To 20 Years In Prison For Orchestrating $150 Million International Ponzi Scheme (DOJ Release)

SEC Charges Former SeaWorld Associate General Counsel With Insider Trading (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4525/securities-industry-commentator/

Bitcoin Dealer Sentenced to Two Years in Prison and Ordered to Forfeit Ill-Gotten Gains (DOJ Release)

14 Defendants in College Admissions Scandal to Plead Guilty / 13 parents and one university athletic coach have agreed to plead guilty to charges of mail fraud and honest services mail fraud (DOJ Release)

Death Craps Out With Viatical Settlement Dice (BrokeAndBroker.com Blog)

In the Matter of Rosalind Herman (SEC Initial Decision)

In the Matter of the Arbitration Between David Lee Garman, Claimant, v. Purdential Equity Group, LLC and Wall Street Access, Respondents (FINRA Arbitration Decision)

In the Matter of James B. Eichner, Jr., Respondent (FINRA AWC)

Jackson County Man Charged with Defrauding Investors in $50 Million Ponzi Scheme (DOJ Release)

Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules (FINRA SR-FINRA-2019-009)

An urgent message to me from Wu Hongbo, Under-Secretary-General for Economic and Social Affairs about the need to follow the United Nations's '100% trusted officials by the Name of Mrs. Yemisi Edunis'"

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4524/securities-industry-commentator/

The Pizza Connection: Painstaking Work Leads to Landmark 1980s Heroin Bust / Thirty-five years ago, in early April 1984, the FBI closed in on a real-life Mafia godfather (FBI Release)

Supplemental Petition for Rulemaking Regarding Digital Asset Mining by Templum Markets, LLC (SEC Public Petition)

FINRA Notice To Members 19-10 Should Have Said What It Meant (BrokeAndBroker.com Blog)

Financial Industry Regulatory Authority Department of Enforcement, Complainant, v. Glendale Securities, Inc. George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang, Respondents. (FINRA Office Of Hearing Officers Extended Hearing Panel Decision)

Radio Talk Show Host Craig Carton Sentenced To 42 Months In Prison For Securities And Wire Fraud (DOJ Release)

Final Judgment and Bars Investment Adviser for Defrauding Clients (SEC Release)

Florida Man Sentenced For $2 Million Insider Trading Scheme Based On Confidential Information Misappropriated From An Investment Bank (DOJ Release)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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