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

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 1, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4611/securities-industry-commentator/

SEC Cancels PCAOB Sanctions. In the Matter of the Application of Cynthia C. Reinhart, CPA For Review of Action Taken by the PCAOB (SEC Opinion; '34 Act Rel No. 85964; Admin. Proc. File No. 3-17758 / May 29, 2019)

SEC Charges Long Island Recidivist with Running $4 Million Fraud (SEC Release)

Another Day. Another FINRA Regulatory Settlement. Another Case Involving Who Owns the Customer (BrokeAndBroker.com Blog)

Discovery in FINRA Arbitration / SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents / Effective Date: July 1, 2019 (FINRA Regulatory Notice 19-20)

Four People Charged With Credit Card �Bust Out' Scheme To Defraud Banks (DOJ Release)

Eight San Fernando Valley Residents Arrested in Check-Kiting Scheme that Allegedly Defrauded Banks out of nearly $1.5 Million (DOJ Release)

Montgomery Business Man Sentenced for Bank Fraud, Mail Fraud and Drug Charges (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4610/securities-industry-commentator/

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 (BrokeAndBroker.com 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)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4609/securities-industry-commentator/

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

(BrokeAndBroker.com 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)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4608/securities-industry-commentator/

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

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