The Wall Street Legal & Regulatory Feed

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 24, 2019




Louis "The Coin" Colavecchio Sentenced to Prison for Counterfeiting $100 Bills (DOJ Release)

Here's how flattening interest rates are affecting the housing market (CNBC Squawk Box)

Day Tripper Barred by FINRA For Bogus Travel Reimbursements
(BrokeAndBroker.com Blog)

SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme (SEC Release)

How Could Wells Fargo Not See This Coming? In the Matter of the Arbitration Between Wildchild Spendthrift DTD July 29, 2016 Trust et al. Claimants, v. Wells Fargo Clearing Services, LLC, Respondent (FINRA Arbitration Decision 18-03891)

Alpine Securities and Scottsdale Capital Win Interim SEC Stay of FINRA Suspensions. FINRA Department of Enforcement, Complainant, v. Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (FINRA Expedited Office of Hearing Officers Panel Decision)

In the Matter of the Application of Alpine Securities Corp. and Scottsdale Capital Advisors Corp. for Review of Action Taken by FINRA (SEC Order Granting Interim Stay)

SEC Clarifies Investment Advisers' Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice (SEC Release)

Statement at Open Meeting on Commission Guidance and Interpretation Regarding Proxy Voting and Proxy Voting Advice (SEC Chair Jay Clayton)

Statement at the Open Meeting on Commission Guidance and Interpretation Regarding Proxy Voting and Proxy Voting Advice (SEC Commissioner Elad Roisman)

Statement at Open Meeting on Commission Guidance Regarding Proxy Voting and Proxy Voting Advice (SEC Commissioner Hester Peirce)

Statement of Commissioner Allison Herren Lee On Proxy Voting and Proxy Solicitation Releases (SEC Commissioner Allison Herren Lee)

Statement on Proxy-Advisor Guidance (SEC Commissioner Robert J. Jackson, Jr.)


Serial Fraudster Pleads Guilty To Scamming Elderly Victims Out Of Hundreds Of Thousands Of Dollars In Fraudulent Payment Scheme / Michael Pizarro Had Previously Been Convicted of a Similar Offense and Continued to Perpetrate the Scheme even after his Arrest (DOJ Release)

Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA's Values (FINRA UNscripted)

FINRA Puts Lime Brokerage in the Self-Regulatory Coconut (BrokeAndBroker.com Blog)

Rambling Narrative of Random Events. Regina Morro, Plaintiff, v.SEC Finra International Investors, Defendant (Opinion, DCDC)

Precious Metals Trader Pleads Guilty to Conspiracy and Spoofing Charges (DOJ Release)

SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets (SEC Release)

SEC Charges TherapeuticsMD With Regulation FD Violations (SEC Release)

Founder of Mantria Corp. Sentenced to 22 Years For Operating $54 Million Ponzi Scheme (DOJ Release)

SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme (SEC Release)


PERSONAL STATEMENT by BILL SINGER: Upset FINRA Board of Governors Election.

FINRA Arbitrators Award UBS Wealth Management Team Member $750,000 Against Former Team Members. In the Matter of the Arbitration Between Mark Gilbert, Claimant, vs. Eileen Berman and Brian Lowenthal, Respondents (FINRA Arbitration Decision 18-02681)

Two from Akron sentenced to prison for using more than $38,000 in counterfeit $100 bills to buy iPads, Apple watches and other items at stores such as Target, Best Buy and Dick's Sporting Goods (DOJ Release)

Jury Returns Conviction in On-Line Dating Fraud Conspiracy (DOJ Release)

Delaware Businessman Sentenced to Federal Prison In Multi-Million Dollar Ponzi Scheme (DOJ Release)

SEC Charges Head Sales Agent in South Florida Alternative Investments Scheme (SEC Release)

FINRA Fines and Suspends Rep Who Impersonated Customers in Calls to Mutual Fund. In the Matter of John Hunter Tillotson, Respondent (FINRA AWC) 

FINRA Fines and Suspends UBS Rep Over Variable Annuities Exchanges. In the Matter of David Rookasin, Respondent (FINRA AWC) 


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