Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 31, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4772/securities-industry-commentator/

SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange (SEC Release)

SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players (SEC Release)

FINRA Arbitrators Order Stockbroker to Disgorge Future Bonuses to Ameriprise (BrokeAndBroker.com Blog)

SEC Charges Investment Adviser with Defrauding Its Advisory Clients (SEC Release)

Treyton Thomas Sentenced to 262 Months' Imprisonment for Multi-Million Dollar Investment Fraud Scheme and Income Tax Evasion (DOJ Release)

SEC Charges Individual for the Fraudulent Offer and Sale of Securities (DOJ Release)

SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal / Obtains Consent to Asset Freeze Preserving Retail Investor Assets (SEC Release)

Former CEO Of Live Well Financial Charged In $140 Million Bond Fraud Scheme / Former Chief Financial Officer and Head Trader Have Each Pled Guilty and Are Cooperating With the Government (DOJ Release)

SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme (SEC Release)

SEC Awards More Than $1.8 Million to Whistleblower (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4771/securities-industry-commentator/

Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew (BrokeAndBroker.com Blog)

Former Chief Financial Officer Sentenced to Federal Prison for Conspiracy Related to $20 Million Ponzi Scheme / Admitted Conspiring with Dawn Bennett to Misappropriate Investors' Funds, and to Making False Statements to SEC Investigators (DOJ Release)

Former Controller Of College Of New Rochelle Sentenced To 3 Years In Prison For Failure To Pay Payroll Taxes And Securities Fraud / Failed to Pay More than $20 Million in Withheld Federal and State Payroll Taxes (DOJ Release)

HOT TOPIC: FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error

(BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4770/securities-industry-commentator/

FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement (FINRA Release)

FINRA Bars Stockbroker After RBC Makes $1 Million Pricing Error

(BrokeAndBroker.com Blog)

FBI Arrests Manhattan Beach Man Facing Federal Charges Related to Movie Investment Scam that Cost Victims $14 Million (DOJ Release)

Former Financial Adviser Arrested on Fraud Charge for Allegedly Swindling Millions from Clients (DOJ Release)

SEC Charges Chicago-Based Investment Professional with Stealing Client Fund (SEC Release)

South Carolina Man Indicted for Running $1.1 Million Foreign Currency Ponzi Scheme (DOJ Release)

Philadelphia Woman Arrested in $100 Million Securities Fraud Scheme (DOJ Release)

SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud (SEC Release)

SEC Charges Real Estate Company and its Founder with $8.75 Million Offering Fraud (SEC Release)

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

FINRA Bars Allstate Insurance Agency Owner Over IRA Witholdings. In the Matter of Kari Ann Buckles, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4769/securities-industry-commentator/

Three Defendants Indicted for Transnational Fraud Scheme / Callers Based in India Impersonated Federal Employees and Netted Over $2 Million From Victims Across the United States (DOJ Release)

Indictment Issued Against Investment Adviser Named in SEC Action (SEC Release)

Court Says Morgan Stanley Employee Failed to Opt Out of Arbitration Clause

(BrokeAndBroker.com Blog)

In the Matter of Saving2Retire, LLC and Marian P. Young (SEC Initial Decision)

FINRA Fines and Suspends Three Over Precious Metals Outside Business Activity. FINRA Department of Enforcement, Complainant, v Charles Edwin Taylor, Jodi Oyler Padgett, and John Lodge Farmer, Respondent (FINRA OHO Panel Decision)

FINRA Fines and Suspends Stockbroker for Improper Trading Practices. In the Matter of Arlyn Roy Stokesbary, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4768/securities-industry-commentator/

UPDATE: SEC Sustains Saad Sanction Saga (BrokeAndBroker.com)

Carrollwood Man Sentenced For $8 Million Investment Fraud (DOJ Release)

9Cir Affirms That EB-5 Lawyer Engaged in Securities Fraud. United States Securities and Exchange Commission, Plaintiff/Appellee, v. Hui Feng and the Law Office of Feng and Associates PC, Defendants/Appellants (9 Cir Opinion)

Westwood Man Agrees to Plead Guilty to Federal Narcotics, Money Laundering Charges for Running Unlicensed Bitcoin Exchange and ATM (DOJ Release)

Australian National Headed to Prison for Money Laundering through Bitcoin (DOJ Release)

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

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