Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

October 9, 2021









































FINRA NAC Affirms OHO But Eliminates Heightened Supervision (BrokeAndBroker.com Blog)

Founder of Russian Bank Pleads Guilty to Tax Fraud / Admits to Concealing More Than $1 Billion in Assets when Renouncing U.S. Citizenship and Agrees to Pay More Than $500 Million Penalty (DOJ Release)

SEC Charges Webcast Host for Role in Market Manipulation Scheme (SEC Release)

SEC Charges Investment Adviser, Affiliated Broker-Dealer and Their President for False and Misleading Statements and Omissions (SEC Release)

Chicago Man Charged in Federal Court With Engaging in Unauthorized Trading That Caused $30 Million in Losses (DOJ Release)

SEC Charges Rogue Trader Who Bankrupted His Firm (SEC Release)

SEC Awards Over $1.7Million to Whistleblower But Denies Award to Second Claimant 
Order Determining Whistleblower Award Claims