Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 1, 2019

Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik (FINRA Unscripted)

FINRA Imposes Bars and Expulsion in Mark-Up Case. FINRA Department of Enforcement, Complainant, v. Windsor Street Capital, L.P. f/k/a Meyers Associates, L.P. ; Arthur Tacopino; and Edwin Rodriguez, Respondents (FINRA Office of Hearing Officers Default Decision)

GUEST BLOG: Earning It, For Our Brothers In Arms by Aegis Frumento, Esq ( Blog)

Waterbury Man Guilty of Fraud and Money Laundering Offenses Related to $1.5 Million Fraud Scheme (DOJ Release) 

SEC Obtains Asset Freeze in Offering Fraud Related to Opioid Crisis (SEC Release)

SEC Announces Fraud Charges in Real Estate Investment Scam (SEC Release)

Lake Mary Woman Convicted Of Mail Fraud Involving Scheme To Defraud eBay And PayPal (DOJ Release)

A Quarter Century of Exchange-Traded Fun! (Speech by SEC Commissioner Hester Peirce at the ETFs Global Markets Roundtable)

Court Enters Final Judgment Against James Alan Craig (SEC Release)

Sacramento Man Sentenced to 3 Years in Prison for Selling Fertilizer as a Fat-Burning Pill (DOJ Release) 

The Hysterical and Yelling Customer, The Market Crash, and A FINRA Expungement
( Blog)

Miami Man Detained in Alleged Five-State "Cashout Scheme" (DOJ Release) 

Chief Executive of Communications Company Sentenced to Prison for Providing Encryption Services and Devices to Criminal Organizations (DOJ Release)  

Phone Provider Found Guilty for Role in $11 Million International Telemarketing Scheme (DOJ Release)

Stamford Woman Sentenced to Prison for Million-Dollar Embezzlement Scheme (DOJ Release)

SEC Charges Investment Adviser With Fraud (SEC Release)

In the Matter of Robert L. Harger, Jr., Respondent and Christopher Michael Dowden, Respondent (FINRA AWC) 

Not His Trade. Not His Fault. But Stockbroker Still Forced Into FINRA Expungement Arbitration ( Blog)

Upcoming FINRA Board of Governors Election / Petitions for Candidacy Due: July 8, 2019 (FINRA Election Notice)

Superb FINRA NAC Decision Addresses E-communications and Office Inspections. In the Matter of FINRA Department of Enforcement, Complainant, v. Southeast Investments, N.C., Inc. and Frank Harmon Black, Respondents (FINRA National Adjudicatory Council Decision)

SEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action (SEC Release)

3 Charged In Million-Dollar Elder Fraud Scheme / Defendants Accessed Their Victims' Computers Without Authorization, Caused Them to Malfunction and Lured the Victims' Into Purchasing Phony Computer Repair Services (DOJ Release)

SEC Charges Perpetrators of Fraudulent Prime Bank Scheme (DOJ Release)