Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

July 20, 2019

Federal Court Says Put A Fork In It 'Cause This Lawsuit Against FINRA is Done! Scottsdale Capital Advisors Corporation, Plaintiff, v. Financial Industry Regulatory Authority, Defendant (Opinion, United States District Court for the District of Columbia ("DDC") / 18-CV-2973) 

Day Trader Pleads Guilty to Computer Hacking and Securities Fraud Scheme Targeting Online Brokerage Accounts / The Affected Brokerage Firms Lost More Than $2 Million (DOJ Release)

Morgan Stanley Hit with $3 Million FINRA Discovery Sanction ( Blog)

Texas Man Sentenced for Insider Trading Scheme / Defendant Received Information From Former Investment Bank Analyst Tied to Case Against NFL Linebacker (DOJ Release)

Former REIT Manager and Executives to Settle SEC Charges for more than $60 Million (SEC Release)

Michigan Man Sentenced To 39 Months For Bank Fraud And Aggravated Identity Theft (DOJ Release)

FINRA Posts Guidances for Member Firms: Private Placement Filings and Public Offering Review