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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 18, 2022


GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Dramatic Development in FINRA Small Firm Board of Governors Petition Race / Candidate David Sukoff Suspends Campaign in Favor of Former Governor Stephen Kohn

FINRA Cybersecurity Alert - June 16, 2022

SEC Charges Former Texas City Official for Falsifying City's Financial Documents (SEC Release)

SEC Charges Firm and Five Brokers with Violations of Reg BI / Brokerage firm sold $13.3 million worth of high-risk bonds to retirees and other retail investors (SEC Release)

SEC Charges "Millionaire Maker" Author with Selling Securities in Unregistered Oil and Gas Offerings (SEC Release)

SEC Charges Louisiana Radio Host with Selling Securities in Unregistered Oil and Gas Offerings (SEC Release)

SEC Halts Fraudulent Real Estate-Related Investment Offerings (SEC Release)

SEC Obtains Final Judgments Ordering Payment of Over $75 Million in Stock Manipulation Scheme (SEC Release)

On the Spot: Remarks at "Regulatory Transparency Project Conference on Regulating the New Crypto Ecosystem: Necessary Regulation or Crippling Future Innovation?" (SEC Commissioner Peirce)

SEC Requests Information and Comment on Advisers Act Regulatory Status of Index Providers, Model Portfolio Providers, and Pricing Services / Commission Seeking Public Comments Regarding "Information Providers" Acting as "Investment Advisers"

Statement on Request for Comment on Certain Information Providers Acting as Investment Advisers by SEC Commissioner Caroline A. Crenshaw

FINRA Bars Compliance Staffer for Creating False Documents Per Rule 8210 Demands
In the Matter of Cynthia La Rosa, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Partnering with Unregistered Persons
In the Matter of Alberto Vargas, Respondent (FINRA AWC)

Guest Blog: Now You See It, Now You Don't (BrokeAndBroker.com Blog)

Who's Zoomin' Who in J.P. Morgan Securities FINRA Arbitration (BrokeAndBroker.com Blog)































Who's Zoomin' Who in J.P. Morgan Securities FINRA Arbitration (BrokeAndBroker.com Blog)

Former Chairman and Managing Partner of Energy Company Pleads Guilty to $15 Million Ponzi Scheme (DOJ Release)

Georgia Man Sentenced in Bank Fraud Scheme that Exploited Homeless Individuals (DOJ Release)

SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund (SEC Release)

SEC Charges Three Additional Investment Advisers for Recommending Ponzi Scheme to Clients (SEC Release)

SEC Charges Weiss Asset Management with Short Selling Violations (SEC Release)

SEC Charges Tar Sands Mining Company and Former Executives with Fraud (SEC Release)

Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees (SEC Release)

Baton Rouge Man Sentenced to Federal Prison for Defrauding an Elderly Veteran (DOJ Release)

Former local bakery owner arrested for stealing identity of deceased baby, $1.5M pandemic relief fraud (DOJ Release)

Former Prison Inmate from Georgia Sentenced for Defrauding Victims Out of Over $9,700 (DOJ Release)

Former Employee of PA-Based Gaming and Casino Company Charged with Insider Trading (DOJ Release)

SEC Charges Former Employee of Online Gambling Company with Insider Trading / Software Engineer Traded, Tipped Friend of Company's Acquisition Plans (SEC Release)

In the Matter of the Application of Equitec Proprietary Markets, LLC for Review of Disciplinary Action Taken by CBOE Exchange, Inc. (SEC Opinion)

SEC Charges New York-Based Investment Adviser and Its CEO and Former Chief Compliance Officer with Securities Violations (SEC Release)

FINRA Bars and Fines Rep Over $7.86 Million in Unsuitable REITs Recommendations
FINRA Department of Enforcement, Complainant, v. Megurditch Patatian, Respondent (FINRA OHO Decision)

FINRA Censures and Fines Insight Securities for WhatsApp Usage
In the Matter of Insight Securities, Inc. Respondent (FINRA AWC)

Stephen A. Kohn Announces 2022 Run for  Small Firm Governor on FINRA Board of Governors / Endorsed by Bill Singer, publisher of the BrokeAndBroker.com Blog and the Securities Industry Commentator


Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees (SEC Release)

Former local bakery owner arrested for stealing identity of deceased baby, $1.5M pandemic relief fraud (DOJ Release)

Former Prison Inmate from Georgia Sentenced for Defrauding Victims Out of Over $9,700 (DOJ Release)

In the Matter of the Application of Equitec Proprietary Markets, LLC for Review of Disciplinary Action Taken by CBOE Exchange, Inc. (SEC Opinion)

SEC Charges New York-Based Investment Adviser and Its CEO and Former Chief Compliance Officer with Securities Violations (SEC Release)

FINRA Censures and Fines Insight Securities for WhatsApp Usage
In the Matter of Insight Securities, Inc. Respondent (FINRA AWC)

Stephen A. Kohn Announces 2022 Run for  Small Firm Governor on FINRA Board of Governors / Endorsed by Bill Singer, publisher of the BrokeAndBroker.com Blog and the Securities Industry Commentator

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