The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
June 15, 2019
Famous New York City restaurateur says restaurant industry can't fill jobs (Fox Business News)
Operator of Long Island Business Pleads Guilty to Defrauding Investors in Distribution of Wine Product Featured on "Shark Tank" TV Show (DOJ Release)
FINRA Arbitrator Denies Expungement For Legally Meritless Customer Complaints
(BrokeAndBroker.com Blog)
"Tech Support" Telemarketing Scheme Leader Sentenced (DOJ Release)
Syracuse Man Pleads Guilty to Sophisticated Investment Fraud Schemes / While on Federal Probation, Donald Geiss, Jr. Created False Identities to Defraud Investors (DOJ Release)
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors (SEC Release)
Connecticut Broker and Investment Adviser Convicted On 21 Counts of Fraud and Money Laundering (SEC Release)
SEC Seeks Emergency Relief to Halt Ponzi Scheme Run from College Fraternity House (SEC Release)
Former Investment Bank Employee Sentenced For Insider Trading Scheme (DOJ Release)
British Man Found Guilty Of Participating In Fraudulent Investment Scheme Related To Co-Working Business (DOJ Release)
FINRA Fines Firm for Undisclosed Job Offer by Issuer. In the Matter of Robert W. Baird & Co. Incorporated, Respondent (FINRA AWC)
FINRA Fines Firm for Inaccurate Valuations in Consolidated Reports. In the Matter of U.S. Boston Capital Corporation, Respondent (FINRA AWC)
In the Matter of the Application of Metatron Inc. For Review of Action Taken by FINRA (SEC Order)