Search for: "SEC v. Singer"
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27 Nov 2020, 12:05 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5566/securities-industry-commentator/Customer's Annuities Lawsuit Backfires During FINRA Arbitration (BrokeAndBroker.com Blog)Brummer v. [read post]
7 Nov 2020, 3:38 am
Identities of SEC Whistleblower and Respondent Bank Outed(BrokeAndBroker.com Blog)Christopher Brummer, Plaintiff, v. [read post]
23 Oct 2020, 3:31 am
California Court of Appeal Holds Its Ground After Rehearing Tilkey v. [read post]
16 Oct 2020, 11:19 am
., Plaintiffs, v. [read post]
16 Oct 2020, 11:19 am
Sec. [read post]
16 Oct 2020, 11:19 am
Court Denies "Alternate Theory of Guilt" Motion for DismissalUnited States of America v. [read post]
15 Sep 2020, 9:19 am
Intellectual Siren Song (Remarks at the 7th Annual Conference on Financial Market Regulation by SEC Commissioner Hester Peirce)'FinCEN' documents reportedly show banks moved illicit funds - BuzzFeed, ICIJ (Reuters Release)9Cir Affirms Dismissal of Class Action Against Credit Suisse SecuritiesChristopher Laver, Plaintiff/Appellant, v. [read post]
15 Sep 2020, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5442/securities-industry-commentator/Intellectual Siren Song (Remarks at the 7th Annual Conference on Financial Market Regulation by SEC Commissioner Hester Peirce)'FinCEN' documents reportedly show banks moved illicit funds - BuzzFeed, ICIJ (Reuters Release)9Cir Affirms Dismissal of Class Action Against Credit Suisse… [read post]
15 Sep 2020, 9:19 am
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator (BrokeAndBroker.com Blog)SEC Brings Charges Against Clean Water Project Founder for Defrauding Investors (SEC Release)Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference (Speech by SEC Commissioner Allison Herren Lee)FINRA Arbitrator Recommends Expungement of Customer Complaint Prompted by Family… [read post]
31 Jul 2020, 4:48 am
Statement of the Department of Justice Antitrust Division on the Closing of Its Investigation of London Stock Exchange Group and Refinitiv (DOJ Release)Six Charged in Transnational Money Laundering Operation Involving Elder Fraud (DOJ Release)Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures (SEC Release)SEC v. [read post]
31 Jul 2020, 4:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5362/securities-industry-commentator/SEC Finds It Has Jurisdiction To Review FINRA's Denial of Access to Its Arbitration ForumIn the Matter of the Consolidated Arbitration Applications for Review of Action Taken by FINRA (SEC Order)9Cir Reverses and Remands SEC v. [read post]
27 Jul 2020, 12:54 am
Miz, Claimant, v. [read post]
10 Jul 2020, 5:58 am
Rubinfeld (NYU), on Friday, July 3, 2020 Tags: Asset management, Common ownership, Firm performance, Index funds, Institutional Investors, Ownership An Analysis of the Supreme Court’s Decision in Liu v. [read post]
27 Jun 2020, 2:54 am
BREAKING NEWS: Seila Law LLC, Petitioner, v. [read post]
27 Jun 2020, 2:54 am
(Bloomberg by Kit Chellel and Liam Vaughan)2Cir Sustains Regulation Best InterestXY Planning Network, LLC et al. v. [read post]
20 Jun 2020, 1:50 am
Scottsdale Capital Advisors Corporation, Appellant, v. [read post]
12 Jun 2020, 6:15 am
Robinhood Market Made Bursting Bubbles Wall Street’s Obsession (Bloomberg by Sarah Ponczek and Vildana Hajric)Heartbreaking story of rookie trader who racked up $700K in debt: 'Finance isn’t worth losing your life over' (Marketwatch by Shawn Langlois)Charlotte Man Pleads Guilty To Wire Fraud For Investment Scheme (DOJ Release)Businessman Sentenced to Prison for $1.4 Million Fraud Scheme (DOJ Release)SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million… [read post]
12 Jun 2020, 6:15 am
Marilyn Booker v. [read post]
8 Jun 2020, 12:20 am
11Cir Affirms Convictions Of Army Veteran and Texas Lawyer For International Money Laundering, Mail, and Wire Fraud Conspiracies.United States of America, Plaintiff/Appellee, v. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman,… [read post]
