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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 21, 2019


Citigroup's Cryptic Cryptocurrency Case (BrokeAndBroker.com Blog)

Federal Courts Compel Arbitration of Dodd‐Frank Whistleblower Retaliation Claim. Erin Daly, Plaintiff/Appellant, v. Citigroup, Inc., Citigroup Global Markets Inc., and Citibank, N.A., Defendants/Appellees (Opinion, 2Cir, 18-665 / September 19, 2019)    

New York Man Is Sentenced To Six Years For Investment Scheme That Defrauded Retired Victims Of More Than $440,000 / The Defendant Executed the Scheme while He Was Being Prosecuted for a Similar Scam in another State (DOJ Release)

Former Austin Bank Employee Sentenced to Federal Prison for Stealing over One Million Dollars from Customer (DOJ Release)

SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity (SEC Release)

Penny Stock "Mailman" and His Two Companies Agree to Settle Scalping Charges (SEC Release)

SEC Charges Los Angeles County School District and Two Officials with Defrauding Investors in $100 Million Bond Offering (SEC Release)

Prudential Rep Wins Expungement of Customer Complaint in Tax Advice Dispute. In the Matter of the Arbitration Between Robert Alan Schwarz, Claimant, v. Prudential Equity Group, LLC, Respondent (FINRA Arbitration Decision)

FINRA EVP of Enforcement Susan Schroeder Announces Departure (FINRA Release)

Update to June 2019 Joint Statement on Opportunistic Strategies in the Credit Derivatives Market (Statement by SEC Chairman Jay Clayton) 

Statement of Commissioner Allison Herren Lee on Amendments to the Volcker Rule by Commissioner Allison Herren Lee (SEC Statement)

Statement on Volcker Rule Amendments by Commissioner Robert J. Jackson Jr. (SEC Statement)


Here's why the top two antitrust enforcers in the US are squabbling over who gets to regulate Big Tech (CNBC.com)

Man Sentenced to Prison for Scheme to Defraud Elderly Man of $157,000 (DOJ Release)

Two Defendants Arrested In $10 Million Tech Support Fraud Scheme / Technical Support Scheme Deceived More Than 7,500 Victims Across the United States and Canada, Many of Whom Are Elderly, into Paying for Phony Computer Repair Services (DOJ Release)

[I]nSecurities GUEST BLOG: Hit the Road, Jack by Aegis Frumento Esq
(BrokeAndBroker.com Blog)

SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity (SEC Release)

SEC Halts Alleged $125 Million Offering Fraud (SEC Release)

Broward County Resident Sentenced to 66 Months in Prison and Ordered to Pay Over $200K for Defrauding Investors in Public Impact Projects Throughout Africa (DOJ Release)


UBS Hit With $9 Million in Damages in FINRA Arbitration Amid Allegations that Firm Had Raided Credit Suisse. In the Matter of the Arbitration Between Credit Suisse Securities (USA) LLC, Claimant, v. UBS Financial Services Inc., Respondent (FINRA Arbitration Decision)

Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors (SEC Release)

A Brief Essentially Devoid of Any Legal Analysis or Citations (BrokeAndBroker.com Blog)

Citigroup Customer Sues Over Delayed Sales of GBTC Bitcoin Trust. In the Matter of the Arbitration Between Rogelio Silva, Claimant, v. Citigroup Global Markets, Inc., Respondent (FINRA Arbitration)

SEC Charges Defendants Who Used Fake Charity to Defraud the Terminally III (SEC Release)

SEC Charges IIIinois Company and Its President with Affinity Fraud Targeting Christian Investors (SEC Release)

South Florida Securities Lawyer Charged with Securities Fraud Relating to 1 Global Capital Investment Scheme (DOJ Release)

SEC Charges South Florida Securities Attorney with Issuing Misleading Opinion Letters that Furthered Fraud on Thousands of Retail Investors (SEC Release)

SEC Charges Former Company Executive with Fraud for False Disclosures About Management (SEC Release)

SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential (SEC Release)

Current and Former Precious Metals Traders Charged with Multi-Year Market Manipulation Racketeering Conspiracy (DOJ Release)

Former Salesman of Porsche Dealership Pleads Guilty to Over $3 Million Fraud Scheme Involving Non-Existent Rare Porsche Models (DOJ Release)

SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations (SEC Release)

Ponte Vedra Man Indicted On Twelve Counts Of Wire Fraud For Investment Scheme (DOJ Release)

Raleigh Investment Advisor Sentenced to 40 Years for Orchestrating Ponzi Scheme, Obstructing the SEC, and Committing Aggravated Identity Theft (DOJ Release)

SEC Orders Brief as to Proper Corporate Representative In Appeal of FINRA Action. In the Matter of Bruce M. Zipper and Dakota Securities International, Inc. for Review of Disciplinary Action Taken by FINRA (SEC Order Requesting Additional Written Submissions)

FINRA Arbitrator Recommends Expungement of Withdrawn LPL Customer Complaint. In the Matter of the Arbitration Between Austin Frye, Claimant, v. LPL Financial LLC, Respondent (FINRA Arbitration Decision 19-00835)

Unscheduled Series 7 Examination Break Yields Cheat Sheet. In the Matter of Rawley Hallman, Respondent (FINRA AWC)


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