Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW - BrokeAndBroker.com

RRBDLAW and BrokeAndBroker are under new ownership. We are working hard to reimagine this service and still bring hard-hitting industry commentary, but with new contributors. Legacy content is still available, however, If you are looking for how to contact Bill Singer, he is no longer affiliated with either service, due to his decision to retire from these websites. Please check back or subscribe to our mailing list to be notified of our relaunch! Thank you for your patience!

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

April 27, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4552/securities-industry-commentator/

Cantor Fitzgerald Doesn't Want This Woman Talking About Her Mug in Court / Lee Stowell says she was bullied and harassed at a Wall Street brokerage. She wants her day in court. (Bloomberg.com / Businessweek)

Many Rivers to Cross But Stockbroker Just Can't Find His Way Over FINRA

(BrokeAndBroker.com Blog)

Report on Use of 2018 Fine Monies (FINRA Release)

FINRA Sanctions Firm for 4 Years of Non-Compliant AML Testing. In the Matter of Gelband & Co., Respondent

FINRA Sanctions Firm and Its Principal for Supervisory Lapses. In the Matter of Buckman, Buckman & Reid, Inc. and Harry John "Chip" Buckman,Jr., Respondents

Celadon Group, Inc. Enters into Corporate Resolution for Securities Fraud and Agrees to Pay $42.2 Million in Restitution / Trucking Company Admits Executives Hid Losses in Aging Trucking Fleet and Lied to Auditors Investigating Allegations (DOJ Release)

SEC Charges Truckload Freight Company With Accounting Fraud (SEC Release)

Former Broker Ordered to Pay Disgorgement and Penalties (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4551/securities-industry-commentator/

GUEST BLOG: Overlooking Maple Street by Aegis Frumento Esq

(BrokeAndBroker.com Blog)

Two Nigerian Nationals Indicted in Bitcoin Fraud Scheme (DOJ Release)

Passaic County, New Jersey, Man Admits Role in Business Email Scheme (DOJ Release)

Mortgage Company President Sentenced for Defrauding Ginnie Mae (DOJ Release)

FINRA Publishes a Nearly Indecipherable Expungement Recommendation. In the Matter of the Arbitration Between Marc Layne Lowell, Claimant, v. Argentus Securities, LLC, Kestra Investment Services, LLC, and Securities America, Inc., Respondents (FINRA Arbitration Decision)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4550/securities-industry-commentator/

Eagle Rock Man Arrested on Indictment Alleging Investment Scam that Claimed Precious Metals Could Be Extracted from �Ancient Slag' (DOJ Release)

All Voya FINRA AWCs are Not Relevant Except When They Are (BrokeAndBroker.com Blog)

SEC Halts Misappropriation and Fraudulent Securities Offering (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4549/securities-industry-commentator/

Conman Who Pretended to Be Beverage Entrepreneur Pleads Guilty to Federal Fraud Charges Stemming from $5 Million Ponzi Scheme (DOJ Release)

Lawton Woman Pleads Guilty to Fraud Involving More Than $7 Million (DOJ Release)

FINRA Arbitrators Dismiss Customer Claims Involving Stanford International Bank CDs (BrokeAndBroker.com Blog)

Dickson Attorney Sentenced To Federal Prison For Stealing Over $1.36 Million From Trust Funds Of Clients / Victims Include Daughter of Tennessee State Trooper Killed in the Line of Duty (DOJ Release)

Former JP Morgan Rep Wins One and Loses One Expungement Request. In the Matter of the Arbitration Between Rhyan Khawar Young, Claimant, v. J.P. Morgan Securities, LLC, Respondent (FINRA Arbitration Decision)

SEC Charges Microcap Fraudster with Running a Pump-and-Dump Scheme (SEC Release)

Custodian of Books and Records / SEC Approves Amendments to FINRA Rule 4570 (FINRA Regulatory Notice 19-16)

FINRA Does NOT Find Untimely Disclosure of Tax Liens "Willful". In the Matter of Guy Michael Cheatham, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4548/securities-industry-commentator/

Jury Convicts Social Media Entrepreneur in Plot to Hijack Internet Domain / Planned an Armed Home Invasion after Owner of "doitforstate.com" Refused to Sell (DOJ Release)

Was Felon A Frequent Flyer or Flight Risk? (BrokeAndBroker.com Blog)

Former Online Brokerage Employee Pleads Guilty to Wire Fraud / Texas Man Engaged in Kick-back Scheme, Inflating Account Referral Numbers for Personal Gain (DOJ Release)

SEC Charges Kimberly Sredich with Misappropriation Scheme (SEC Release)

Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors (SEC Release)

Permalink