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

November 2, 2019

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4880/securities-industry-commentator/

Pawtucket Man Sentenced in International Scam Targeting the Elderly (DOJ Release)

E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter) (BrokeAndBroker.com Blog)

SEC Charges International Security-Based Swaps Dealer That Targeted U.S. Investors (SEC Release)

SEC Obtains Final Judgement Against Thailand-Based Trader Charged with Insider Trading (SEC Release)

FINRA Fines and Suspends Two Reps For Enabling Statutorily Disqualified Individual to Engage in Securities Business. FINRA Department of Enforcement, Complainant, vs Kim K. Kopacka and Beth A. DeBouvre, Respondents (Order Accepting Offer of Settlement).

FINRA Censures, Fines, and Imposes Undertakings on Member Firm over OBA, Electronic Communications, and Branch Inspection Violations. In the Matter of Aurora Capital LLC, Respondent (FINRA AWC)

FINRA Censures and Fines Firm, and Fines and Suspends FINOP Over FOCUS Violations. In the Matter of Alexander Capital. L.P. and Thomas Sullivan, Respondents (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4879/securities-industry-commentator/

Former Wells Fargo Banker Pleads Guilty for Involvement in Movie Financing Fraud Scheme (DOJ Release)

Federal Jury Convicts Former Video Store Owner of Selling Counterfeit DVDs (DOJ Release)

[In]Securities Guest Blog: Everybody Knows by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Obama Will Kill the Stock Market. No, Trump Will. No, Warren Will (Bloomberg.com by Sarah Ponczek and Vildana Hajric)

FINRA Fines, Suspends, and Orders Requalification of Managing Director in Research Department Over Undisclosed Employment Conflict. In the Matter of Michael G. King, Jr., Respondent (FINRA AWC)

Las Vegas, Nevada Man Pleads Guilty to Role in Million Dollar Scheme Targeting Thousands of U.S. Servicemembers and Veterans (DOJ Release)

Florida Federal Court Orders Defendant to Pay More than $2 Million in a Foreign Currency Fraud Scheme (CFTC Release)

United States Reaches Settlement to Recover More Than $700 Million in Assets Allegedly Traceable to Corruption Involving Malaysian Sovereign Wealth Fund (DOJ Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4878/securities-industry-commentator/

Fraudster Who Created False Documents to Facilitate $396 Million Ponzi Scheme Sentenced to 14 Years in Federal Prison / Jay Ledford Created False Documents to Conceal the Largest Fraud Scheme Ever Charged in Maryland Which Defrauded Investors Across the Country; Gambled Away More Than $16 Million in Fraud Proceeds at Casinos (DOJ Release)

SEC ALJ Order Discusses Character Witnesses and Inability to Pay (BrokeAndBroker.com Blog)

SEC Obtains Final Judgments Against Pyramid Scheme Mastermind and Promoters (SEC Release)

Biotech Company CEO Convicted of Securities Fraud and Obstruction (DOJ Release)

Former UVA Football Player Convicted of $10 Million Fraud (DOJ Release)

FINRA Bars Rep over $3,900 Business Expenses. In the Matter of E: Ronald "Ramone" J. Knight, Respondent (FINRA AWC)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4877/securities-industry-commentator/

Cantor Fitzgerald Hit With Nearly $1 Million FINRA Arbitration Award in Employment Dispute. In the Matter of the Arbitration Between James Patrick Smyth, Claimant, v. Cantor Fitzgerald & Co., Respondent (FINRA Arbitration Decision)

Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing (BrokeAndBroker.com Blog)

Stockbroker Fined and Suspended Over Oral Discretion Authorized by Customers.(FINRA AWC)

Missouri Man Sentenced to Nearly Two Years in Prison for His Role in "Field of Schemes" Organic Grain Fraud Involving More than $120 Million in Total Fraudulent Sales / Missouri Man was Fifth Man Sentenced for Playing a Role in Largest Organic Grain Fraud Scheme in U.S. History (DOJ Release)

Federal Court Orders Florida Company to Pay More Than $15 Million in Monetary Sanctions for Fraud and Illegal Transactions (CFTC Release)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4876/securities-industry-commentator/

Former Massachusetts Man Sentenced for Conspiracy to Hide $486,000 from Federally Insured Financial Institution (DOJ Release)

Oral Contract Propels Lynx Capital Into Trading Black Hole

(BrokeAndBroker.com Blog)

SE(C) habla Espanol? In the Matter of Christopher M. Gibson (SEC Order on Respondent's Exhibit)

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