The Wall Street Legal & Regulatory Feed
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
July 9, 2022
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6537/securities-industry-commentator/
UBS Sued in Federal Court Over Form 1099 Reporting (BrokeAndBroker.com Blog)
SEC Obtains Final Judgments Against Defendants in Netflix Insider Trading Ring (DOJ Release)
SEC Obtains Judgments Against Three Individuals for Participating in Multi-Million Dollar International Fraud Scheme (SEC Release)
The Nasdaq Stock Market LLC, et al., Petitioners, v. Securities and Exchange Commission, Respondent (Opinion, DC Cir)
Oppenheimer Customer Wins Over $200,000 in FINRA Arbitration for Something Involving Something
In the Matter of the Arbitration Between Gerald A. Fallon, Claimant, v. Oppenheimer & Co. Inc., Tom G. Thacker, II, and Ernest Sean Mishne, Respondents (FINRA Arbitration Award)
SEC Denies Award To Whistleblower Claimant
Order Determining Whistleblower Award Claims
CFTC Orders Swap Dealer to Pay $6 Million for Swap Reporting and Daily Mark Disclosure Violations (CFTC Release)
CFTC Orders J.P. Morgan to Pay $850,000 for Swap Reporting Failures (CFTC Release)
Statement of CFTC Commissioner Christy Goldsmith Romero Regarding Enforcement Action Against JP Morgan Chase Bank, N.A., et al. for Swap Data Reporting Failures
FINRA Fines and Suspends Rep for Investment Property OBA
In the Matter of Wei Donald Tang Respondent (FINRA AWC)
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts (BrokeAndBroker.com Blog)
Charles Schwab SIP Robo-Adviser Cited In FINRA Arbitration (BrokeAndBroker.com Blog)