Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

March 26, 2022

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6359/securities-industry-commentator/

Stockbroker Wins Expungement of Two Edward Jones Customer Complaints (BrokeAndBroker.com Blog)

Loves Park Investment Advisor Sentenced to More Than Four Years in Prison for Financial Fraud (DOJ Release)

Nevada Man Admits Money Laundering and Tax Offenses Related to BitClub Network Fraud Scheme (DOJ Release)

SEC Obtains Final Judgment Ordering Individual to Pay Over $17 Million for Facilitating Multi-Million Dollar International Fraud Scheme (SEC Release)

FINRA Expels Alpine Securities and Orders Restitution and Imposes Cease-and-Desist

In the Matter of FINRA Department of Enforcement, Complainant, v. Alpine Securities Corporation, Respondent (FINRA OHO Decision)

FINRA Fines and Suspends Aegis Capital Corp Rep for Excessive/Unsuitable Trading

In the Matter of Arkady Ginsburg, Respondent (FINRA AWC)

FINRA Censures and Fines Wolfe Research Securities Over Advertised Trading Volumes

In the Matter of Wolfe Research Securities, Respondent (FINRA AWC)

Ameriprise Loses Unsuitability Case in FINRA Customer Arbitration

In the Matter of the Arbitration Between Jeffrey Trosen and Susan Trosen, Claimants, v. Ameriprise Financial Services, LLC and Securities America, Inc., Respondents (FINRA Arbitration Award 20-03293)

Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation (BrokeAndBroker.com Blog)

Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction (BrokeAndBroker.com Blog)

FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6358/securities-industry-commentator/

Stockbroker Wins Expungement of Two Edward Jones Customer Complaints (BrokeAndBroker.com Blog)

Former HP Planning Manager Pleads Guilty To $5+ Million Wire Fraud Scheme / Defendant Identifies List of Cars, Handbags, Jewelry and Other Luxury Items That Are Forfeited as Part of Plea Agreement (DOJ Release)

Four Men Indicted for $16 Million Investment Fraud Scheme (DOJ Release)

Rhode Island Man Pleads Guilty in Insider Trading Scheme / Defendant profited from trades based on information obtained from public company executive (DOJ Release)

Treynor Man Sentenced for Investment Fraud Scheme / Jeff Carley scammed victims using his sham investment company (DOJ Release)

Man Sentenced to 99 Months in Prison for Committing Mail Fraud while Serving Federal Sentence for Previous Fraud (DOJ Release)

SEC Finds Division of Enforcement's Proof of Service Lacks Appropriate Certification

In the Matter of Michael Vax (SEC Order Regarding Service)

SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M (SEC Release)

FINRA Fines and Suspends Aegis Capital Corp Rep for Excessive/Unsuitable Trading

In the Matter of Arkady Ginsburg, Respondent (FINRA AWC)

FINRA Censures and Fines Wolfe Research Securities Over Advertised Trading Volumes

In the Matter of Wolfe Research Securities, Respondent (FINRA AWC)

Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation (BrokeAndBroker.com Blog)

Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction (BrokeAndBroker.com Blog)

FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6357/securities-industry-commentator/

Wells Fargo Promissory Note Case Enters Its Second Decade of Litigation (BrokeAndBroker.com Blog)

Ex-Roommate and Co-Conspirator of Former Philadelphia Eagle Sentenced to 2 Months for Insider Trading Scheme (DOJ Release)

Federal Court Orders Tennessee and Kentucky Men and Their Company to Pay Over $5 Million for Commodity Futures Pool Fraud (CFTC Release)

Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction (BrokeAndBroker.com Blog)

FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6356/securities-industry-commentator/

Motion to Vacate FINRA Arbitration Award Fails To Raise Federal Jurisdiction (BrokeAndBroker.com Blog)

Court Imposes Restrictions on Credit Repair Company to Protect Consumer (DOJ Release)

SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors (SEC Release)

Shelter from the Storm: Helping Investors Navigate Climate Change Risk[1] by SEC Commissioner Allison Herren Lee

Statement on the Enhancement and Standardization of Climate-Related Disclosures for Investors by SEC Commissioner Caroline A. Crenshaw

We are Not the Securities and Environment Commission - At Least Not Yet by SEC by Commissioner Hester M. Peirce

FINRA Bars Rep for Alleged Falsifications and Forgeries

In the Matter of David Michael Stevens, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Variable Annuity Sale

In the Matter of Andrew Benjamin Edenbaum, Respondent (FINRA AWC)

FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6355/securities-industry-commentator/

FINRA Bars JP Morgan Securities Rep Over Chase Bank Credit Card Charges (BrokeAndBroker.com Blog)

President Of Sham United Nations Affiliate Convicted Of Cryptocurrency Scheme (DOJ Release)

SEC Awards $1.5 Million to Whistleblower Claimant

Order Determining Whistleblower Award Claims

SEC Awards Over $1 Million to Whistleblower Claimant

Order Determining Whistleblower Award Claims

SEC Awards Over $400,000 to Whistleblower Claimant

Order Determining Whistleblower Award Claims

SEC Awards Over $60,000 to Whistleblower Claimant

Order Determining Whistleblower Award Claims

FINRA Censures and Fines Geneos Wealth Management Over Supervision of Reps' Recommendations of Alternative Mutual Fund and Negligent Omission of Offering Information

In the Matter of Geneos Wealth Management, Inc., Respondent (FINRA AWC)