Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW - BrokeAndBroker.com

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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 7, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4783/securities-industry-commentator/

Man who Robbed West Mifflin PNC Bank Wearing a Pirates Hat and McDonald's Uniform Shirt Will Spend 4+ Years in Prison (DOJ Release)

Accountant Who Cheated Her Friends and Clients via a $27.5 Million Ponzi Scheme Sentenced to More than 8 Years in Federal Prison (DOJ Release)

Two Women Sentenced To Federal Prison For Credit Card Fraud Scheme Targeting Elderly Victims (DOJ Release)

SEC Charges Investment Adviser with Fraud (SEC Release)

FINRA Bars NYLIFE Rep Over Debit Card Expenses (BrokeAndBroker.com Blog)

In the Matter of the Application of J.W. Korth & Company For Review of Disciplinary Action Taken by FINRA (Order Denying Stay As Moot)

Marketing Executive for Two Global Companies Pleads Guilty to Federal Charge for Defrauding Her Employers / Participated in a Scheme with More Than $855,000 in Losses (DOJ Release)

SEC Charges Two Chicago Residents with Insider Trading (SEC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4782/securities-industry-commentator/

SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies / OCC to Pay Combined $20 Million Penalty (SEC Release)

SEC Charges Sports Betting Investment Scheme Operators with Fraud (SEC Release)

Cumberland County Man Charged With Conspiracy To Defraud 30 Victims In Romance Fraud Scheme (DOJ Release)

[In]Securities GUEST BLOG: Walk Like a Man by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Former Raymond James Rep Barred for False FINRA Testimony and Fabricating False Confirms. In the Matter of Stefan Pastor, Respondent (FINRA AWC 2018058316601)

Five Individuals Convicted For Participating in Global Fraud Scheme (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4781/securities-industry-commentator/

FINRA Arbitrator Orders Expungement of Customer Complaint Arising From Disputed Life Insurance Proceeds Amid Divorce Followed by Ex-Husband's Death. In the Matter of the Arbitration Between Wesley J. Cumbie, Claimant, v. MML Investor Services, LLC, Respondent (FINRA Arbitration Decision)

FBI Launches Sextortion Awareness Campaign in Schools / Youth Should Be On Guard Online (FBI Release)

Extortion Scheme Mastermind Sentenced For Conspiracy To Commit Wire Fraud (DOJ Release)

FINRA AWC Cites Prospective Customer, Possible Investor, and Proposal

(BrokeAndBroker.com Blog)

NOTICE: Aegis Frumento Esq will be returning as a Guest Blogger to the BrokeAndBroker.com Blog on Thursdays, starting with September 5, 2019. Catch his new [IN]security column.

SEC Charges Attorney with Role in Investment Schemes (SEC Release)

Mint Hill, N.C. Man Is Charged With Wire Fraud And Aggravated Identity Theft For Stealing More Than $800,000 From An Elderly Victim (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4780/securities-industry-commentator/

Rocky Enters Texas Ring Over Fee-For-Advice Dispute (BrokeAndBroker.com Blog)

FINRA Suspends and Fines Rep Who Forged Electronic Signatures on 26 New Account Docs. In the Matter of Vitthal Mathurbmas Patel, Respondent (FINRA AWC 2018059723101)

Lorain man indicted for accessing his employer's computer system after learning he would be fired and shutting down the web site, blocking access to email (DOJ Release)

SEC Charges Two New Defendants in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accounts (SEC Release)

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