Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
January 28, 2023
Bill Singer Slams Garbage Regulation on Wall Street (BrokeAndBroker.com Blog)
Calling All Unreasonable Wall Street Professionals (BrokeAndBroker.com Blog)
The White House Blueprint For A Renters Bill Of Rights (Prepared By The Domestic Policy Council And National Economic Council / January 2023)
DOJ RELEASES
Florida Woman Arrested For Defrauding Holocaust Survivor Of $2.8 Million In Connection With Romance Scam (DOJ Release)
Indiana Woman Indicted in Rhode Island in Online Romance Scam that Allegedly Defrauded a 96-Year-Old Rhode Island Widower (DOJ Release)
Texas Woman Sentenced in Romance Fraud Scams that Defrauded Seniors of More than $2.6 Million / Luxury cars and goods purchased with scam proceeds are seized and forfeited (DOJ Release)
Justice Department Sues Google for Monopolizing Digital Advertising Technologies /Through Serial Acquisitions and Anticompetitive Auction Manipulation, Google Subverted Competition in Internet Advertising Technologies (DOJ Release)
Former CEO Of Email Security Company Sentenced To Five Years In Prison (DOJ Release)
Former Miami-Dade County Resident Sentenced to Prison for Running Ponzi Scheme (DOJ Release)
Former Energy Company Executive Sentenced for $15 Million Investment Fraud (DOJ Release)
Vitaly Borker Pleads Guilty To Defrauding Customers Of His Eyewear Websites For The Third Time (DOJ Release)
Corfu Woman Sentenced For Her Role In Fraudulent African Orphanage Scheme (DOJ Release)
SEC RELEASES
SEC Obtains Final Judgment Against Defendant for Role in Offering Fraud (SEC Release)
SEC Charges Investment Club Manager for Misappropriating Investor Funds (SEC Release)
SEC Obtains Asset Freeze and Other Relief, Charges Miami Investment Advisers for Fraudulent Scheme Using Fabricated Audit Reports and Attorney Letters (SEC Release)
SEC Charges Wisconsin Investment Adviser with Defrauding Senior Clients (SEC Release)
Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities (SEC Release)
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations (SEC Release)
Statement on In the Matter of Bloomberg Finance, L.P. by SEC Commissioner Hester M. Peirce and SEC Commissioner Mark T. Uyeda
SEC Obtains Over $5 Million Final Judgment Against Individual in Multi-Million Dollar Microcap Pump and Dump Scheme (SEC Release)
SEC Awards $28 Million Whistleblower Award to Joint Claimants
Order Determining Whistleblower Award Claim
Outdated Remarks before the Digital Assets at Duke Conference by SEC Commissioner Hester M. Peirce
CFTC RELEASES
FINRA RELEASES
FINRA Announces Departure of Enforcement Head Jessica Hopper
FINRA Fines and Suspends Rep for Falsifying Rep Code
In the Matter of Altin Tirana, Respondent (FINRA AWC)
FINRA Bars NRF For Unauthorized Access to Customer Checking Account
In the Matter of Imani Bailey, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep For Customer Impersonation and Reg S-P
In the Matter of Jay W. Eng, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep For Non-Profit OBA
In the Matter of William A. Massarweh, Respondent (FINRA AWC)