Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

July 27, 2019

TD Ameritrade launches an in-car feature that lets drivers check stocks, get prices while in traffic (

SEC Task Force to Host Roundtable On Elder Fraud (Coffee and Danish Will Be Served, Maybe) ( Blog)

Disbarred Lawyer Pleads Guilty to Wire Fraud and Aggravated Identity Theft for Scheme to Steal from Friend and Family / Used Identities of Friend and Family Members to Obtain Credit Cards and Access to Bank Accounts (DOJ Release)

Ameriprise Sought Permanent Injunction Forcing Future Employers to Disgorge Bonuses as Repayment. In the Matter of the Arbitration Between Ameriprise Financial Services, Inc., Claimant, v. Jeffrey E. Krupnick, Respondent (FINRA Arbitration Decision) 

FINRA Arbitrators Bar Respondent From Presenting Defense and Facts at Hearing. In the Matter of the Arbitration Between Nicholas Ahuja, Ajay Ahuja,  Dr. Ajay Ahuja Deutsche Bank IRA, Claimants, v. Deutsche Bank Securities, Inc., Sterne, Agee & Leach, Inc., Stifel, Nicolaus & Co., Inc., and David Wilson Fleming, Respondents (FINRA Arbitration Decision)

FINRA Arbitrators Find Customer Did Not Intend to Complain. In the Matter of the Arbitration Between Michael R. Kanner, Claimant, v. Edward D. Jones & Co., Respondent  (FINRA Arbitration Decision)