Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

April 17, 2021

These Foolish Things Remind Me of FINRA ( Blog)

Rhode Island Man Allegedly Swindled Victims Who Thought They Were Investing in Las Vegas Show Based on 'Magic Mike' Films (DOJ Release)

Second Managing Partner Of Investment Advisory Firm Pleads Guilty To Defrauding Clients And Investors In Over $100 Million Ponzi-Like Fraud Scheme (DOJ Release)

Mob Associate Sentenced to 4+ Years for Real Estate Fraud Scheme / The defendant stole down payments for homes from two different families (DOJ Release)

Mexican Businessman, His Wife and Two Others Indicted in Million Dollar Investment Fraud Scheme (DOJ Release)

Token Safe Harbor Proposal 2.0 (SEC Statement by Commissioner Hester M. Peirce)

Associated Person Cites Favoritism and Retaliation in FINRA Arbitration
In the Matter of the Arbitration Between Beverly Marie Ketel, Claimant, v. Citizens Securities, Inc., Respondent (FINRA Arbitration Award)

FINRA Fines and Suspends Rep Over Unauthorized Trades
In the Matter of Jared Matthew Reinstein, Respondent (FINRA  AWC)

FINRA Censure and Fines Firm Over Inaccurate Customer Reserve Calculations
In the Matter of CF Secured, LLC, Respondent (FINRA  AWC)

First Trades, First Dollars, and the NYSE Celebrates Moments ( Blog)

Federal Circuit Court Says Head Scratchin' Act Not Proof of Securities Fraud Scienter ( Blog)