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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 3, 2019

In memoriam of the victims of the weekend's mass murders,
 the Securities Industry Commentator
 has suspended the publication of new content for Monday, August 5, 2019.


California Couple Charged with Wire Fraud and Money Laundering in $7 Million Ponzi Scheme (DOJ Release)

SEC Charges Investment Adviser for Failing to Disclose Conflicts Arising from Receiving Revenue Sharing On Client Investments (SEC Release)

Former President Of Investment Adviser Firm Sentenced And Former Comptroller Charged In Multimillion-Dollar Investment Fraud (DOJ Release)

Fraudster Brought Back from Kenya to Face Jail Time for Stealing Almost $750,000 from UCSD through a Spear Phishing Campaign (DOJ Release)

FINRA Bars Rep For Not Computing. In the Matter of Orlando Vargas, Respondent (FINRA AWC) 

FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC
(BrokeAndBroker.com Blog)

FINRA Censures and Fines Firm Over Do Not Call List Bypasses. In the Matter of Dawson James Securities, Inc., Respondent (FINRA AWC)

SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud (SEC Release)

Former Chief Executive Officer And Chief Financial Officer Of Publicly Traded Company Charged With Accounting Fraud / Former Chief Accounting Officer and Senior Vice President of Company, a Real Estate Investment Trust, Have Pled Guilty and Are Cooperating with the Government's Investigation (DOJ Release) 

Renegade Pandas: Opportunities for Cross Border Cooperation in Regulation of Digital Assets (Speech by SEC  Commissioner Hester Peirce at the Singapore University of Social Sciences Convergence Forum)


Owner of High-End Wine Storage Facility Sentenced to Federal Prison for Embezzling From His Customers / Over Nearly 5 Years, Holder Stole Between $550,000 and $1.5 Million Worth of Customers' Wine (DOJ Release)

Manhattan U.S. Attorney Announces Additional Distribution Of More Than $469 Million To Victims Of Madoff Ponzi Scheme / Payments Are the Fourth Distribution in a Series of Payments That Together Will Constitute the Largest Payment of Forfeited Funds in the History of the Department of Justice's Victim Compensation Program (DOJ Release)

Former Financial Advisor Sentenced To 20 Years In Federal Prison For Her Conviction On 17 Federal Charges Related To $20 Million Ponzi Scheme / Dawn Bennett Misappropriated Investors' Funds, Including Using Them to Pay a Website Operator to Arrange for Priests in India to Perform Religious Ceremonies to Ward Off Federal Investigators (DOJ Release) 

GUEST BLOG: FINRA Hearing Process . . . BIAS . . . Real or Perceived??? 
(BrokeAndBroker.com Blog)












Robert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service (SEC Release)

Seattle Tech Worker Arrested for Data Theft Involving Large Financial Services Company / Used Knowledge of Servers and Cloud Storage to Steal Data from Millions of Credit Applications (DOJ Release)

If It Wasn't For Bad Luck, I Would Not Have No Luck At All in FINRA Arbitration
(BrokeAndBroker.com Blog)

Former S&P Analyst Sentenced To More Than One Year In Prison For Insider Trading (DOJ Release)

John J. Hurry et al., Plaintiffs/Appellants, v. Financial Industry Regulatory Authority, Inc. (FINRA), a Delaware corporation; and Scott M. Anderson, Defendants/Appellees (9 Cir Memorandum)

SEC Charges Nevada Entity and Its Managing Member with Fraudulent Sports Betting Scheme (SEC Release)

SEC Obtains Fraud Judgments Against Overseas Broker Dealer and Investment Manager (SEC Release)

FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to Appropriately Fingerprint or Screen Employees Over Seven-Year Period (FINRA Release)

SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading (SEC Release)


91% of FINRA Member Firms Have 0% Role on its Powerful Nominating Committee (BrokeAndBroker.com Blog)

FINRA Bars Gambling Rep Who Evaded Currency Reporting. In the Matter of the FINRA Department of Enforcement, Complainant, vs. Richard O. White, Respondent.(FINRA NAC Decision)

SEC Sustains FINRA Violations and Sanction Against Meyers Associates and Bruce Meyers. In the Matter of the Application of Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) and Bruce Meyers for Review of Disciplinary Action Taken by FINRA (SEC Opinion)

Pennsylvania Man Sentenced For International Email Impersonation And Fraud Scam (DOJ Release)

United States Files $100 Million Civil Complaint Against Digital Currency Exchange BTC-e And Chief Owner-Operator Alexander Vinnik / Complaint seeks to enforce federal penalties for alleged violations of Bank Secrecy Act (DOJ Release)

Four Florida Men Sentenced In Connection With Multi-Million Dollar Fraud Against Xerox Corporation (DOJ Release)

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