The Wall Street Legal & Regulatory Feed

Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

May 14, 2022


Wells Fargo Sues Over Transitional and Production Bonuses But Rep Fights Back (BrokeAndBroker.com Blog)

Two Defendants Sentenced to Prison for Pump-and-Dump Stock Fraud Scheme (DOJ Release)

CEO Of Cryptocurrency And Forex Trading Platform Charged With Fraudulent Scheme Involving Over $59 Million (DOJ Release)

Two Californians Indicted in Multi-Million Dollar Tech-Support Scam Targeting Elderly Victims (DOJ Release)

SEC Obtains Final Judgment Ordering Mastermind of International Microcap Fraud Scheme to Pay $52,925,214 (SEC Release)

Remarks at Securities Enforcement Forum West 2022 by Gurbir S. Grewal, Director, SEC Division of Enforcement

Federal Court Puts A Second Fork In Schottenstein FINRA Arbitration and Says It's Done And Done (BrokeAndBroker.com Blog)

FINRA Torches Small Brokerage Firm Over Due Diligence Procedures (BrokeAndBroker.com Blog)

FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)


Federal Court Puts A Second Fork In Schottenstein FINRA Arbitration and Says It's Done And Done (BrokeAndBroker.com Blog)

Former FBI Director Airs Warning About Elder Fraud / Public Service Announcement Reminds Seniors and Their Loved Ones to Be Vigilant

"A 'New' New Era:" Prepared Remarks Before the International Swaps and Derivatives Association Annual Meeting by SEC Chair Gary Gensler

SEC Obtains Partial Judgment Against Fraud Guarantee Co-Founder for Engaging in Fraudulent Securities Offering (SEC Releases)

Defendant in SEC Enforcement Action Sentenced to More Than Nine Years in Prison (SEC Release)

Man Sentenced for Stealing from PayPal Accounts in Wire Fraud Scheme (DOJ Release)

FINRA Arbitration Panel Hits TD Ameritrade with Damages over UWTI Position in Customer Account
In the Matter of the FINRA Arbitration Between Ian Delahunty, Claimant, v. TD Ameritrade, Inc., Respondent (FINRA Arbitration Award)

Texas Securities Commissioner Files Emergency Action to Stop Russian Scammers Perpetrating Metaverse Investment Fraud

FINRA Torches Small Brokerage Firm Over Due Diligence Procedures (BrokeAndBroker.com Blog)

FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)


FINRA Torches Small Brokerage Firm Over Due Diligence Procedures (BrokeAndBroker.com Blog)

Former FBI Director Airs Warning About Elder Fraud / Public Service Announcement Reminds Seniors and Their Loved Ones to Be Vigilant

"A 'New' New Era:" Prepared Remarks Before the International Swaps and Derivatives Association Annual Meeting by SEC Chair Gary Gensler

Former Chief Financial Officer of $21 Billion Biopharmaceutical Company Indicted for Insider Trading (DOJ Release)

Former San Bernardino County Sheriff's Deputy Pleads Guilty to Fraud and Tax Charges in Multimillion-Dollar Investment Swindle (DOJ Release)

Foreign National Who Fled and Was Later Extradited from the United Kingdom Pleads Guilty to Conspiracy to Commit Bank and Wire Fraud in Relation to Theft of Over 2,600 Checks from Religious Institutions (DOJ Release)

Cybercriminal Charged with Unauthorized Computer Intrusion, Securities Fraud, Wire Fraud and Other Crimes / Defendant Allegedly Engaged in a Campaign of Cybercrime Targeting U.S. Victims and Causing More than $5 Million in Losses (DOJ Release)

Montreal Man Sentenced To 30 Months' Imprisonment For Leading A Sweepstakes And Lottery Fraud Targeting The Elderly (DOJ Release)

SEC Obtains Final Judgment Against Former California Real Estate Company CFO for Role in Ponzi Scheme (SEC Release)

SEC Obtains Final Judgment Against Michigan Investment Adviser for Fraud (SEC Release)

SEC Obtains Final Judgment Against Pharmaceutical Company Founder Charged with Insider Trading (SEC Release)

SEC Charges Two Corporations, Four Individuals, and an Estate Over Allegedly Fraudulent Investment Offerings (SEC Release)

CFTC Charges California Man and His Companies with Fraud and Misappropriation / Judge Grants Restraining Order (CFTC Release)

FINRA Fines and Suspends Rep for Unauthorized Materials During Series 66 Examination
In the Matter of Erin Bridget Settle, Respondent (FINRA AWC 2021071239401)

FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)




FINRA Arbitrators and Federal Courts Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)

Jury Convicts Southern Illinois University-Carbondale Professor of Concealing Foreign Bank Account from the Internal Revenue Service (DOJ Release)

Salt Lake City Estate Planning Attorney Sentenced to 97 Months in Prison and Ordered to Pay over $12.7 Million Dollars to 26 Victims (DOJ Release)

CEO of Mining Capital Coin Indicted in $62 Million Cryptocurrency Fraud Scheme (DOJ Release)

SEC Halts Fraudulent Cryptomining and Trading Scheme / Founders allegedly promised big returns, instead used investments to fund lavish lifestyles (SEC Release)

SEC Obtains Judgment Requiring Disbarred Attorney to Pay Nearly $1 Million for Violating His Suspension from Appearing or Practicing as an Attorney Before the Commission (SEC Release)

SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining (SEC Release)

United States Settles Suit Against VoIP Service Providers for Facilitating Millions of Illegal Telemarketing Calls about COVID-19 (DOJ Release)

Merrill Lynch Associated Person Hit With Over $11 Million in Damages/Fees in FINRA Customer Arbitration
In the Matter of the Arbitration Between Janice J. Compton, Claimant, v. Merrill Lynch Pierce Fenner & Smith Inc. and Thomas Joseph Buck, Respondents (FINRA Arbitration Award)

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