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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

May 11, 2019


From the Bank of Spalding (or is that "Spaldeen" ?) FINRA Department of Enforcement, Complainant, v. Michael Joseph Clarke, Respondent (FINRA Hearing Panel Decision)

5 OBAs, 2 PSTs, $15,000 Fine and 10 Month Suspension in 1 FINRA AWC (BrokeAndBroker.com Blog)

Be on the Lookout for Virtual Currency Fraud (CFTC Alert)

Be on the Lookout for PAC Man Fraud. Austin Man Pleads Guilty to Fraudulent Scheme to Solicit Hundreds of Thousands of Dollars in Contributions to Scam-Pacs (DOJ Release)

Ontario Man Pleads Guilty For His Role In International Fraud Scheme (DOJ Release)

"How We Howey" (Speech by SEC Commissioner Hester Peirce to the Securities Enforcement Forum / May 9, 2019)

Stockbroker Fined and Suspended for Firing Blanks. In the Matter of Stephen Patrick Tosha, Respondent (FINRA AWC)

Two Robinhoods Fall Victim to One Arbitration Arrow. In the Matter of the Arbitration Between Sugam Vasani, Claimant, v. Robinhood Financial, LLC and Robinhood Securities, LLC, Respondents (FINRA Arbitration Decision)

U.S. Attorney Announces Charges Against Multimillion-Dollar Business Email Compromise Syndicate (DOJ Release)

SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions (SEC Release)

Statements at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition by Chairman Jay Clayton and Commissioners Robert J. Jackson Jr., Hester M. Peirce, and Elad L. Roisman 


Ay, Ay, Ay, Ay . . . You're Going To Sing-Sing -- Don't Cry! Peruvian Man Pleads Guilty to Operating Spanish-Speaking Call Center that Threatened and Extorted U.S. Consumers (DOJ Release)

Six Men Charged for Role in Five-Year High-Yield Investment Fraud Scheme (DOJ Release)

GUEST BLOG:  The Game of Coins by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Testimony before the Financial Services and General Government Subcommittee of the U.S. Senate Committee on Appropriations by SEC Chairman Jay Clayton

Credit Suisse Loses Multi-Million Dollar Deferred Comp Arbitration. In the Matter of the Arbitration Between Joseph Todd Lerner and Anna Sarai Winderbaum, Claimants, v. Credit Suisse Securities (USA) LLC, Respondent (FINRA Arbitration Decision)

Montana Man Charged In Connection With $43 Million Fraud Scheme (DOJ Release) 

Brockton Man Pleads Guilty To Computer Fraud And Abuse (DOJ Release)


In the Matter of the Applications of Securities Industry and Financial Markets Association and Bloomberg L.P. For Review of Actions Taken by Various National Securities Exchanges and National Market System Plans in Their Role as Registered Securities Information Processors (SEC Order Denying Reconsideration)

In Re Express Scripts Holdings Company Securities Litigation (Summary Order 2Cir)

Seller's Remorse Upends Investment Firm Sale In FINRA Arbitration (BrokeAndBroker.com Blog)

Third Nigerian National Admits Role in Business E-Mail Compromise Scheme Targeting CFOs and Controllers (DOJ Release)

Georgia Investment Representative Pleads Guilty To Stealing Over $1.4 Million From Elderly Brentwood Woman (DOJ Release)

Boston Man Pleads Guilty to Business Loan Scheme (DOJ Release)

SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend (SEC Release)

FINRA Sanctions Rep for "Fundamental Misunderstanding" About VA. In the Matter of Ronald R. Blasczyk, Respondent (FINRA AWC)


Argentine Man Sentenced in Witchcraft Extortion Scheme (DOJ Release)

Cantor Fitzgerald Files $7.2 Million FINRA Arbitration Promissory Note Claim. In the Matter of the Arbitration Between Cantor Fitzgerald & Co., Claimant, v. Ilan Shlomo Adika, Respondent (FINRA Arbitration Decision)

Jefferies Wins FINRA Arbitration Injunction Against Criticism and Adverse Comments (BrokeAndBroker.com Blog)


Former Banker Extradited From Malaysia to United States to Face Charges in Multi-Billion Dollar Money Laundering And Bribery Scheme Relating to the 1MDB Fund / Roger Ng, a Malaysian National, to be Arraigned on FCPA and Money Laundering Conspiracy Charges in Relation to Three Bonds for 1Malaysian Development Berhad (DOJ Release)

Super Bowl, All-Star and NCAA Championship Counterfeit Ticket Producer Sentenced to 4+ Years in Prison (DOJ Release)

You don't see this everyday. In the Matter of the Registration Statement of Starkot Corp. (SEC Order to Show Cause)

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


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