Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

May 7, 2022

The Curious Case of Donald Howard ( Blog)

Idaho I.T. Professional Charged With Misappropriating Pre-Publication Investment Recommendations For Insider Trading Scheme / David Stone Electronically Accessed an Investment Advice Service's Unannounced Stock Picks and Used That Information to Generate Millions in Trading Profits and to Provide Inside Tips to Another (DOJ Release)

SEC Obtains Final Judgment Against BTIG, LLC (SEC Release)

Prince George Man Pleads Guilty to Multimillion Dollar Fraud Scheme (DOJ Release)

Former Insurance Agent Pleads Guilty to Defrauding Client of More Than a Million Dollars (DOJ Release)

South Bay Man Pleads Guilty to Participating in a Multimillion-Dollar Real Estate Scam Involving Fake Open Houses at Not-for-Sale Homes (DOJ Release)

2022 FINRA Industry Snapshot

SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts / Defendants allegedly used funds from deceased beneficiaries' accounts on golf tournaments and beach parties (SEC Release)

SEC Obtains Judgment Against Corporate Officer Charged with Assisting Microcap Fraud Scheme (SEC Release)