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6 Sep 2022, 4:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6646/securities-industry-commentator/GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NFTs "Securities"? [read post]
18 Dec 2017, 3:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. http://www.rrbdlaw.com/3734/securities-industry-commentator/In today’s Securities Industry Commentator feed:SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors (SEC Press Release 2017-235) According to an SEC Complaint filed in the United States District Court for the Southern District of Florida, Robert H. [read post]
1 Aug 2022, 4:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6587/securities-industry-commentator/GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible (BrokeAndBroker.com Blog)FINRA Censures and Fines JP Morgan Securities In… [read post]
8 Nov 2019, 8:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4903/securities-industry-commentator/Modernizing our Regulatory Framework: Focus on Authority, Expertise and Long-Term Investor Interests (Speech by SEC Chairman Jay Clayton, University of Pennsylvania Distinguished Jurist Lecture)California Man Indicted in $300 Million Nationwide Investment Fraud and Ponzi Scheme (DOJ Release)Former Financial… [read post]
27 Aug 2021, 11:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6035/securities-industry-commentator/The SEC Is Asked to Go Back To The Future to Rewrite History (BrokeAndBroker.com Blog)SEC Charges The Kraft Heinz Company and Two Former Executives for Engaging in Years-Long Accounting Scheme / Company Will Pay $62 Million to Settle Charges Related to Inflated Cost Savings that Caused it to Restate Several… [read post]
13 Nov 2020, 8:14 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5543/securities-industry-commentator/Justice Department Files Antitrust Case and Simultaneous Settlement Requiring National Association of Realtors To Repeal and Modify Certain Anticompetitive Rules / Settlement Will Increase Competition to the Benefit of American Homeowners and Homebuyers and Allow for Innovation in Brokerage Markets (DOJ… [read post]
20 Mar 2023, 3:55 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6948/securities-industry-commentator/ GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq (BrokeAndBroer.com Blog) SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case (BrokeAndBroker.com Blog) Financial… [read post]
24 Jan 2022, 2:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6263/securities-industry-commentator/FINRA Fines and Suspends Barclays Analyst For Undisclosed Employment Offer (BrokeAndBroker.com Blog)2Cir Reverses LIBOR Judgments for Insufficient EvidenceUnited States of America, Appellee-Cross-Appellant, v. [read post]
3 Dec 2021, 12:59 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6203/securities-industry-commentator/Trader Indicted for Commodities Insider Trading Scheme (DOJ Release)SEC Obtains Judgments Against Bitconnect's Lead National Promoter and His Company for Antifraud and Registration Violations (SEC Release)SEC Charges Tech Employee and His Brother-In-Law with Insider Trading (SEC Release)Russian National… [read post]
29 Oct 2021, 11:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6143/securities-industry-commentator/Rochester Man Going To Prison And Ordered To Pay Millions In Restitution For His Role In Ponzi Scheme That Bilked Investors Out Of Millions Of Dollars (DOJ Release)Executive Charged by SEC for Financial Fraud Scheme Sentenced to 13 Years in Prison in Parallel Criminal Case (SEC Release)Two New Jersey, One New… [read post]
27 Mar 2023, 4:05 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6960/securities-industry-commentator/ GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code (BrokeAndBroker.com Blog) FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS… [read post]
9 Jul 2021, 12:50 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5951/securities-industry-commentator/GUEST BLOG: Transitioning to Independence by Michael King of Michael King Associates (BrokeAndBroker.com Blog)Former CEO And CFO Of Public Telecommunications Company Charged In Manhattan Federal Court With Scheme To Defraud Investors / Defendants Charged with Concealing Company’s Deteriorating Financial… [read post]
12 Mar 2021, 11:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5747/securities-industry-commentator/FINRA Notice Reminds Firms Of Obligation To Thoughtfully Craft Strong Rules In Advance (BrokeAndBroker.com Blog)SEC Charges California-Based Fraudster With Selling "Insider Tips" on the Dark Web (SEC Release)SEC Obtains Emergency Asset Freeze, Charges Colorado Resident with Fraud Involving Sham… [read post]
6 Mar 2020, 1:30 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5108/securities-industry-commentator/On The Beach in Hysteria Mode (BrokeAndBroker.com Blog)What can happen to a company if coronavirus sends every employee home (CNBC.com)SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions (SEC… [read post]
14 May 2021, 4:09 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5855/securities-industry-commentator/Financial Reports and Policies (FINRA / May 20, 2021)GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq (BrokeAndBroker.com Blog)Two Jackson Men Charged in Multi-Million Dollar Fraud Scheme Conspiracy (DOJ Release)Former CEO Of Real Estate Private Equity Investment Firm Pleads Guilty To $58 Million… [read post]
17 May 2019, 9:41 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4600/securities-industry-commentator/How Do You Like Them Tomatoes? [read post]
1 Jul 2021, 7:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5938/securities-industry-commentator/GUEST BLOG [In]Securities: Tell Me Lies by Aegis Frumento Esq (BrokeAndBroker.com Blog)Disbarred Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme (DOJ Release)Cryptocurrency Fraudster Sentenced for Money Laundering and Securities Fraud in Multi-Million Dollar… [read post]
11 Jul 2020, 3:43 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5325/securities-industry-commentator/Charles Schwab says retail trading kept booming in second quarter amid market comeback (CNBC by Maggie Fitzgerald)The Futility of Futility On Display in FINRA Expungement Dispute (BrokeAndBroker.com Blog)CFTC Charges Georgia Company and Florida Residents with Precious Metals Fraud and Misappropriation of… [read post]
14 Aug 2021, 8:07 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6010/securities-industry-commentator/PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans) (BrokeAndBroker.com Blog)Omar Amanat Sentenced To Prison For Multiple Fraud Schemes After Conviction At Trial During Which He Fabricated Evidence (DOJ Release)SEC Obtains Judgments Against Bitconnect Promoters Michael Noble and Joshua Jeppesen and… [read post]
21 Feb 2023, 3:12 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6899/securities-industry-commentator/ Financial Professionals Coalition, Ltd. [read post]
