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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

June 25, 2022


BREAKING NEWS: SCOTUS overturns Roe v. Wade

GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Former Investment Adviser Sentenced To 72 Months In Prison For Investor Fraud Scheme (DOJ Release)

Former Financial Advisor Sentenced to Prison for Defrauding Close to $6 Million Dollars from Clients and Spending it on Extramarital Affairs (DOJ Release)

Home Health Care Provider Is Sentenced To Prison For Stealing More Than $1 Million From Two Elderly Clients (DOJ Release)

SEC Obtains Preliminary Injunction and Appointment of a Receiver in Pre-IPO Stock Fraud by Unregistered Broker-Dealer (SEC Release)

FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations / NSC Ordered to Pay Over $625,000 in Restitution to Customers Who Bought GPB Capital Private Placements After NSC Failed to Inform Them of Material Information (FINRA Press Release)

OTC Options Reporting / FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transaction (FINRA Regulatory Notice 22-14)

FINRA Fines and Suspends Rep for Role with Marina
In the Matter of Kenneth Lawrence Spielman, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Mortgage Loans to Two Customers
In the Matter of James Patrick Norris, Respondent (FINRA AWC)

Suspension of Disbelief: The Louis Ottimo FINRA to SEC Back to FINRA Back to SEC Regulatory Saga (BrokeAndBroker.com Blog)

JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)

122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)


Suspension of Disbelief: The Louis Ottimo FINRA to SEC Back to FINRA Back to SEC Regulatory Saga (BrokeAndBroker.com Blog)

JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)

Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Admits Insider Trading (DOJ Release)

Federal Indictment Charges CPA With Securities Fraud / More than 19 investors at or near retirement age lost over $3.6 million (DOJ Release)

Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda by SEC Commissioner Hester M. Peirce

SEC Charges the Brink's Company with Violating Whistleblower Protection Rule (SEC Release)

A Caution on the Limits of Authority: Statement Regarding In the Matter of The Brink's Company by SEC Commissioner Hester M. Peirce

FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations / NSC Ordered to Pay Over $625,000 in Restitution to Customers Who Bought GPB Capital Private Placements After NSC Failed to Inform Them of Material Information (FINRA Press Release)

FINRA Fines and Suspends Rep for Inaccurate Joint Rep Code
In the Matter of Jeffrey Martin, Respondent (FINRA AWC)

FINRA Suspends Rep for Discretionary Trading
In the Matter of Thomas Michael Hallberg, Respondent (FINRA AWC)

FINRA Suspends Rep for PST and Personal Email
In the Matter of Brian F. Donnelly, Respondent (FINRA AWC)

122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)


JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)

Federal Indictment Charges CPA With Securities Fraud / More than 19 investors at or near retirement age lost over $3.6 million (DOJ Release)

Justice Department Secures Groundbreaking Settlement Agreement with Meta Platforms, Formerly Known as Facebook, to Resolve Allegations of Discriminatory Advertising / Lawsuit is the Department's First Case Challenging Algorithmic Discrimination Under the Fair Housing Act; Meta Agrees to Change its Ad Delivery System (DOJ Release)

Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda by SEC Commissioner Hester M. Peirce

SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations (SEC Release)

SEC Obtains Final Judgment Against Former Pharmacy Chain Employee Charged with Insider Trading (SEC Release)

Collapse of stablecoin TerraUSD sparks bold 'scheme liability' suit (Reuters by Alison Frankel)

FINRA Suspends Rep for Discretionary Trading
In the Matter of Thomas Michael Hallberg, Respondent (FINRA AWC)

FINRA Suspends Rep for PST and Personal Email
In the Matter of Brian F. Donnelly, Respondent (FINRA AWC)

122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)


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