Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

May 1, 2021

Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration ( Blog)

SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme (SEC Release)

Carthage Man Pleads Guilty to Telemarketing Crimes / International Ring Worked Sophisticated Tech Support Fraud (DOJ Release)

FINRA Arbitrator Recommends Expungement of Non-Existent Customer Complaint
In the Matter of the Arbitration Between Lisa Katterhenry Howe, Claimant v. Wells Fargo Advisors Financial Network, LLC, Respondent (FINRA Arbitration Award)

FINRA Arbitrator Recommends Expungement After Citing Improper E-Mail Trade Order
In the Matter of the Arbitration Between Patrick Peterson, Claimant v. Wells Fargo Clearing Services, LLC, Respondent (FINRA Arbitration Award)

FINRA Bars Rep for Unauthorized Trades, False Responses to Regulator, and Inaccurately Marking Trades "Unsolicited"
In the Matter of Sun Hyung Kim, Respondent (FINRA AWC)

140 Victims Lost Millions In Investment Using Nanotech to Turn Dirt Into Gold  ( Blog)