Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 17, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4748/securities-industry-commentator/

Long Title. Big Mission. (Speech to the Maha Discovery Festival by Martha Miller, SEC Advocate for Small Business Capital Formation)

SEC Releases Videos for Investors on Choosing and Working with a Financial Professional (SEC Release)

Request amendment to Form ADV, Part 1A, Item 5 (Information About Your Advisory Services), Section E (Compensation Arrangements) by requiring investment advisers to disclose the schedules of fees levied for their services and other compensation in a standardized format (Public Petitions for Rulemaking / SEC / submitted by Dr. Benjamin H. Harris, Executive Director, Kellogg Public-Private Interface at Northwestern University)

Former Washington Resident Pleads Guilty to Wire Fraud and Money Laundering in Fraudulent IPO Stock Scheme / Defrauded Investors of Millions of Dollars by Posing as a British Billionaire with Inside Track on New Companies (DOJ Release)

Middlesex County Man Charged with Securities Fraud and Aggravated Identity Theft (DOJ Release)

Former Chief Financial Officer of 1 Global Capital LLC Charged with Conspiracy to Commit Securities Fraud in Relation to $330 Million Scheme (DOJ Release)

SEC Charges Former CFO of Cash Advance Company With Defrauding Thousands of Retail Investors (SEC Release)

SEC Charges Investment Adviser with Defrauding Clients (SEC Release)

Expungement of Merrill Lynch Rep Recommended by FINRA Arbitrator In the Matter of the Arbitration Between Gary B. Meshell, Claimant, v. Merrill Lynch Pierce Fenner & Smith Inc. and Gary Kahn Stern, Respondents (FINRA Arbitration Decision)

FINRA Small Firm Member Board of Governors Election / Voting Ends August 19, 2019

VOTE for LINDE MURPHY

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4747/securities-industry-commentator/

Have You Met One Alhaji the Big Cattle and Dairy Farmer?

Wide Open Arbitration Slam Dunks for Two FINRA Firms. One Scores. One Clangs

(BrokeAndBroker.com Blog)

Effex Capital, LLC, et al., Plaintiffs/Appellants, v. National Futures Association, (Opinion, 7Cir.)

SEC Charges Orange County, California Investment Advisers with Fraud (SEC Release)

SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors (SEC Release)

Outside Business Activities Lead to FINRA Fine and Suspension. In the Matter of Leonard J. Kuczynski, Respondent (FINRA AWC)

�Shocking' FINRA elections to feature rarely contested race for large-firm rep (Financial Planning by Kenneth Corbin)

FINRA Small Firm Member Board of Governors Election / Voting Ends August 19, 2019 / VOTE for LINDE MURPHY

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4746/securities-industry-commentator/

Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA

(BrokeAndBroker.com Blog)

10Cir Affirms SEC's Sanctions of Dennis J. Malouf. Dennis J. Malouf, Petitioner, v. Securities and Exchange Commission, Respondent (Opinion, 10Cir.)

SEC Stops Recidivist's Fraud Before Investors Are Harmed (SEC Release)

SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme (SEC Release)

FINRA Arbitrators Award Damages in Petersen Investments Employment Dispute. In the Matter of the Arbitration Between Vincent Miller, Jonathan Staiman, William Miller, David Robert, and Alan Green, Claimants, v. Petersen Investments, Inc., Bertram James Riley, Sr., and Bertram James Riley, Jr., Respondents (FINRA Arbitration Decision)

Expungement Recommended by FINRA Arbitrator in Stop Loss Dispute. In the Matter of the Arbitration Between Gary Lawrence Wageman, Claimant, v. LPL Financial LLC, Respondent (FINRA Arbitration Decision)

FINRA Small Firm Member Board of Governors Election / Voting Ends August 19, 2019 / VOTE for LINDE MURPHY

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4745/securities-industry-commentator/

FINRA Censures and Fines Member Firm for 13 Unregistered Prop Traders. In the Matter of Seven Points Capital, LLC, Respondent (FINRA AWC)

Pro Se Customer Alleges Unsuitability of Self Directed Put Sales

(BrokeAndBroker.com Blog).

Conman Who Posed as Beverage Entrepreneur Sentenced to more than 7 Years in Federal Prison for Running $7.5 Million Ponzi Scheme (DOJ Release)

Manhattan U.S. Attorney Announces Insider Trading Charges Against Analyst At Investment Bank (DOJ Release)

SEC Charges Investment Banking Analyst with Insider Trading (SEC Release)

SEC Obtains Final Judgment Against Second Defendant in Fitbit Stock Manipulation Scheme (SEC Release)

SEC Charges Massachusetts Investment Adviser with Persuading Retail Investors to Place Money Into an Apparent Overseas Scam (SEC Release)

FINRA Small Firm Member Board of Governors Election / Voting Ends August 19, 2019 / VOTE for LINDE MURPHY

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4744/securities-industry-commentator/

FINRA Conducts Retrospective Rule Review on Senior Investors
(BrokeAndBroker.com Blog)

Former PCAOB Inspections Leader And KPMG Executive Director Sentenced For Scheme To Steal Confidential PCAOB Information In Order To Fraudulently Improve KPMG's PCAOB Inspection Results (DOJ Release)

South Florida Resident Sentenced to 70 months for Investment Fraud Scheme after Attempting to Flee the Country (DOJ Release)

FINRA OHO Panel Fines and Suspends Rep for Outside Business Activities. FINRA Department of Enforcement, Complainant, v. Partho S. Ghosh, Respondent (FINRA OHO Decision)

FINRA OHO Panel Bars Rep Citing Ethical Lapses In Mortgage ReFi. FINRA Department of Enforcement, Complainant, v. William James Potter, Respondent (FINRA OHO Decision)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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