Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

February 20, 2021

An Elderly Grandma and Sister Who Wasn't and the New VA Beneficiaries ( Blog)

Liquor Entrepreneur Arrested For Defrauding Investors (DOJ Release)

SEC Charges Tequila Company Founder with Misappropriating Investor Funds (SEC Release)

Maple Grove Investment Advisor Pleads Guilty To Defrauding Clients Out Of More Than $2.2 Million (DOJ Release)

Three North Korean Military Hackers Indicted in Wide-Ranging Scheme to Commit Cyberattacks and Financial Crimes Across the Globe / Indictment Expands 2018 Case that Detailed Attack on Sony Pictures and Creation of WannaCry Ransomware by Adding Two New Defendants and Recent Global Schemes to Steal Money and Cryptocurrency from Banks and Businesses while Operating in North Korea, China (DOJ Release)

Attorney General James Sues to Shut Down Illegal Cryptocurrency Trading Platform and Virtual Currency, Seeks to Recoup Defrauded Funds for Thousands of Investors / Coinseed Willfully Ignored Numerous Securities and Commodities Registration Laws / Unregistered Trading Platform Put Thousands of Investors' Money at Risk (NYAG Release)

SEC Charges Digital Asset Trading Platform and Its CEO with Registration Violations (SEC Release)

SEC Cites League of Extraordinary Advisers In Denying Waiver of Bar ( Blog)

SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments (SEC Release)

Craig C. Garrick, Jr. Sentenced To A Year In Federal Prison For Securities Fraud / Defrauded Victims out of $450,000 in Financial Fraud Scheme (DOJ Release)

Northampton County Man Sentenced to 4 1/2 Years for Bilking Family, Friends & Fraternity Brothers out of Over $1 Million in Phony Stock Scheme (DOJ Release)

Nigerian National Sentenced to Prison for $11 Million Global Fraud Scheme (DOJ Release)

FINRA Censures and Fines Actinver Securities Inc. Over AML Issues
In the Matter of Actinver Securities, Inc., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep Over Reg SP Violations
In the Matter of Nathaniel Leigh Goldenberg, Respondent (FINRA AWC)