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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

September 26, 2020


[In]Securities Guest Blog: tZero/No Limit by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Maryland Man Sentenced to Prison for Intentionally Damaging the Computers of His Former Employer (DOJ Release)

SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors (SEC Release)

Jason Galanis Sentenced In Manhattan Federal Court For Multiple Securities Fraud Schemes (DOJ Release)

Man who Swindled Schoolteacher out of Entire Retirement Savings Sentenced to Prison (DOJ Release)

Head Of Financial Services Firm Charged In Manhattan Federal Court In Connection With Multimillion-Dollar Securities Fraud Scheme / Chairman, CEO, and President of Concorde Group Holdings Inc. Charged with Defrauding Investors Out of Approximately $4.4 million (DOJ Release)

Three California Men Sentenced for Scheme to Manipulate Stock Prices of Two Public Companies (DOJ Release)

SEC Charges Texas Investment-Adviser Firm and Its Owner for Misappropriating Assets (SEC Release)

SEC Charges Lighting Products Company and Four Executives With Accounting Violations (SEC Release)

SEC Charges Florida Real Estate Developer with Fraud for Paying Unauthorized Commissions in Sale of Promissory Notes (SEC Release)

Suburban Manufacturer to Pay $1.7 Million Civil Penalty to SEC as Part of Resolution of Fraud Investigation by U.S. Attorney's Office (DOJ Release)

Engine Manufacturing Company to Pay Penalty, Take Remedial Measures to Settle Charges of Accounting Fraud (SEC Release)

FINRA Fines and Suspends Rep Over Loans from Customer
In the Matter of Jay Howard Bluestine, LLC, Respondent (FINRA AWC)

FINRA Censures and Orders Restitution from Capital City Securities Financial Over Third-Party Trade Surveillance 
In the Matter of Capital City Securities, LLC, Respondent (FINRA AWC)


SEC Reforms Its Whistleblower Program (BrokeAndBroker.com Blog)

SEC Charges Former Controller of Now-Bankrupt Company with Insider Trading (SEC Release)

SEC Obtains Emergency Asset Freeze, Charges Ring of Microcap Stock Manipulators Targeting Retail Investors (SEC Release)

SEC Obtains Final Judgments Against Biotechnology Company and Its CEO for Stock Offering Scheme (SEC Release)

SEC Adopts Amendments to Modernize Shareholder Proposal Rule (SEC Release)

Modernizing the Shareholder Proposal Framework for the Benefit of All Shareholders (Statement by SEC Chair Jay Clayton)

Statement at Open Meeting on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 (Statement by SEC Commissioner Hester M. Peirce)

Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 (Statement by SEC Commissioner Elad L. Roisman)

Statement on the Amendments to Rule 14a-8 (Statement by SEC Commissioner Allison Herren Lee)

Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 (SEC Commissioner Caroline A. Crenshaw)





FINRA Arbitrator Recommends Expungement of Customer Complaint Prompted by Family Dispute
In the Matter of the Arbitration Between David Joseph Van Acker and Paul Joseph Van Acker, Claimants, v. UBS Financial Services Inc., Respondent (FINRA Arbitration Award)

FINRA Fines and Suspends Rep for Non-Disclosure of Litigation
In the Matter of Harry Rosenberg, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep Over 118 Unauthorized Transactions
In the Matter of Deborah Leah Beal, Respondent (FINRA AWC)


Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator (BrokeAndBroker.com Blog)

Members of Stock Fraud Ring Indicted for Securities Fraud, Two Defendants Arrested (DOJ Release)

Queens Man Charged in Insider Trading Scheme (DOJ Release)

SEC Charges Index Manager and Friend With Insider Trading (SEC Release)

SEC Charges Ponzi Scheme Targeting U.S. Military Service Members (SEC Release)

Chairman Of Venture Capital Funds Pleads Guilty To Securities And Wire Fraud In Manhattan Federal Court / David Wagner Defrauded More than 30 Investors of $8 Million Dollars and Misappropriated Investor Funds (DOJ Release)

SEC Settles with Two Additional Defendants in Boiler Room Scheme (SEC Release)

In the Matter of the Claim for an Award in connection with Redacted (SEC Order Determining Whistleblower Award Claim)

FINRA Bars Rep Who Converted $130,000 from Elderly Customers
In the Matter of Roger Allan Duval, Respondent (FINRA AWC)

FINRA NAC Modifies Findings and Sanctions for Rep Who Fraudulently Misrepresented and Omitted Material Facts in Offering documents and Engaged in Securities Business Without Registration
In the Matter of Department of Enforcement, Complainant, v. Eric S. Smith, Respondent (FINRA NAC Decision)







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