Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

March 6, 2021

High Standards In Low Places on Wall Street ( Blog)

Phishing Email Purporting to Be From FINRA / FINRA Alerts Firms to Phishing Email Using "" Domain Name (FINRA Regulatory Notice)

9Cir Reverses SLUSA Dismissal of Investors' Class Action Against Edward Jones
Edward Anderson, Coleen Worthington, and Janet Goral, Plaintiffs/Appellants, v. Edward D. Jones & Co., The Jones Financial Companies, Inc., James D. Weddle, and Vincent J. Ferrari, Defendants/Appellees (Opinion 9Cir)

Minnesota Man Pleads Guilty To Central Florida Investment Fraud (DOJ Release)

Cryptocurrency Fraudster Pleads Guilty to Securities Fraud and Money Laundering Charges in Multi-Million Dollar Investment Scheme (DOJ Release)

SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad (SEC Release)

SEC Announces Enforcement Task Force Focused on Climate and ESG Issues (SEC Release)

Enhancing Focus on the SEC's Enhanced Climate Change Efforts (Statement by SEC Commissioners Hester M. Peirce and Elad L. Roisman)

As Time Goes By At FINRA And TradeStation ( Blog)

Vanguard Compliance Manager Submits Altered and Fabricated Documents to FINRA ( Blog)

FINRA Censures and Fines Securities America Over Outsourced Onboarding ( Blog)

The Saga of FINRA Versus Kimberly Springsteen-Abbott ( Blog)