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Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 5, 2023

FINRA Can't Quite Put A Name On It: Perjury Or False Testimony Or Misleading Testimony (BrokeAndBroker.com Blog)

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United States of America, v. Donald J. Trump, Defendant (Indictment, United States District Court for the District of Columbia, 23-CR-00257)

DCCir Says the SEC did not adequately explain why SPIKES futures must be regulated as futures to promote competition with VIX futures.
CBOE Futures Exchange, Llc, Petitioner v. Securities and Exchange Commission, Respondent -and- Minneapolis Grain Exchange, Llc, Intervenor (Opinion, United States Court Of Appeals For The District Of Columbia Circuit)

5Cir Affirms Criminal Convictions in United Development Funding Convictions
United States of America, Plaintiff/Appellee, v. Hollis Morrison Greenlaw; Benjamin Lee Wissink; Cara Delin Obert; Jeffrey Brandon Jester, Defendants/Appellants. (Opinion / 5Cir)

SEC

SEC Charges Massachusetts Resident with $1.2 Million Offering Fraud and Ponzi Scheme (SEC Release)

SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants (SEC Release)

SEC Charges Owners of Broker-Dealer with Aiding and Abetting Violations of Net Capital Requirements (SEC Release)

SEC Charges Florida Resident in Connection with Ponzi Scheme Targeting Religious Community (SEC Release)

SEC Obtains Final Judgment Against Silicon Valley IT Administrator at the Center of Multimillion Dollar Insider Trading Ring (SEC Release)

SEC Charges Florida Investment Adviser a Second Time for Insider Trading / Wellington resident agrees to pay a penalty equal to three times his unlawful profits to settle charges (SEC Release)

SEC Suspends Colorado Public Accountant for Improper Professional Conduct (SEC Release)

SEC Charges Unregistered Broker for Unlawful Sales of Securities to Retail Investor (SEC Release)

SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion (SEC Release)

SEC Charges Former Reinsurance and Investment Adviser Executives With Defrauding Clients (SEC Release)

CFTC

CFTC Orders UK Trader to Pay $150,000 and Imposes a One-Year Trading Ban for Spoofing in WTI Futures (CFTC Release)

FINRA

FINRA Bars Rep For Falsifying Bank Statements/Check Produced to FINRA and Making False Statements During OTR
In the Matter of Timothy James Breslin, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep For Permitting His Business Partner to Falsify Customer Signatures
In the Matter of Robert Vincent Judge, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep For Forging/Falsifying Customer Signatures
In the Matter of Bradley Thomas Wastler, Respondent (FINRA AWC)

FINRA Bars Rep For Breaching Fiduciary Duties Owed to a Community Bank
In the Matter of William Henry Weisbrod, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep For Unauthorized Trading in Community Bank Account
In the Matter of Lilia Nia, Respondent (FINRA AWC)

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