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26 Jun 2022, 6:42 am
Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6516/edelman-financial-nonsolicit/BrokeAndBroker.com Blog publisher Bill Singer Esq. is no fan of non-solicit/non-compete provisions. [read post]
26 Jun 2022, 6:42 am
FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)Michigan Man Sentenced to Four Years in Prison for Defrauding Business Opportunity Buyers of More Than $5 Million (DOJ Release)Final Defendant of Four Sioux Falls Men Arrested for Role in Bank Fraud & Money Laundering Conspiracies (DOJ Release)Australian Tech Entrepreneur Sentenced To More Than 8 Years For Multimillion Dollar Consumer Fraud Scheme (DOJ… [read post]
23 Jun 2022, 10:26 am
(Pixabay) “The mental health of young people in New Jersey is a growing area of concern, especially after the unnecessary lockdowns during the pandemic,” said Singer (R-30). [read post]
21 Jun 2022, 5:22 pm
Speaking of singers in their 80s: Gordon Lightfoot. [read post]
21 Jun 2022, 10:26 am
The singer, known as Lord Zion, fell ill with an agonising headache on May 13 last year- eight days after having the first jab, at Penrith Auction Mart in Cumbria. [read post]
21 Jun 2022, 4:24 am
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)Home Health Care Provider Is Sentenced To Prison For Stealing More Than $1 Million From Two Elderly Clients (DOJ Release)FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations / NSC Ordered to Pay Over $625,000 in Restitution to Customers Who Bought GPB Capital Private… [read post]
21 Jun 2022, 4:24 am
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Admits Insider Trading (DOJ Release)Federal Indictment Charges CPA With Securities Fraud / More than 19 investors at or near retirement age lost over $3.6 million (DOJ Release)Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda by SEC Commissioner Hester M. [read post]
21 Jun 2022, 4:24 am
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6520/insecurities-aegis-frumento-tradezero/In today's Guest Blog, industry lawyer Aegis Frumento summons up the Bee Gees when he grouses about how some jive talkin' seemed to have gotten the SEC into a lather. [read post]
21 Jun 2022, 4:24 am
<a href="#jpms">JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)</a>Justice Department Secures Groundbreaking Settlement Agreement with Meta Platforms, Formerly Known as Facebook, to Resolve Allegations of Discriminatory Advertising / Lawsuit is the Department's First Case Challenging Algorithmic Discrimination Under the Fair Housing Act; Meta Agrees to Change its Ad Delivery System (DOJ Release)SEC Charges… [read post]
21 Jun 2022, 4:24 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6514/securities-industry-commentator/BREAKING NEWS: SCOTUS overturns Roe v. [read post]
21 Jun 2022, 4:24 am
122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations (SEC Release)SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations (SEC Release)https://www.sec.gov/news/press-release/2022-111Without admitting or denying the findings in an SEC Complainthttps://www.sec.gov/litigation/admin/2022/34-95127.pdf, Egan-Jones Ratings Company agreed… [read post]
18 Jun 2022, 9:49 am
Jules is obsessed with opera and in particular with the American opera singer, Cynthia Hawkins (brilliantly played by Wilhelmina Wiggins Fernandez). [read post]
14 Jun 2022, 4:16 am
When I asked who Lizzo was, I was informed that she was “body positive” black woman singer whose hallmarks were “twerking” and calling people “bitches. [read post]
13 Jun 2022, 7:01 am
Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees (SEC Release)Baton Rouge Man Sentenced to Federal Prison for Defrauding an Elderly Veteran (DOJ Release)Former local bakery owner arrested for stealing identity of deceased baby, $1.5M pandemic relief fraud (DOJ Release)Former Prison Inmate from Georgia Sentenced for Defrauding Victims Out of Over $9,700 (DOJ Release)Former Employee of PA-Based Gaming and Casino Company Charged with Insider Trading (DOJ Release)... [read post]
13 Jun 2022, 7:01 am
GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6496/insecurities-aegis-frumento-mirror-protocol/When virtual reality collides with real-world reality, the real world always wins. [read post]
13 Jun 2022, 7:01 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6502/securities-industry-commentator/GUEST BLOG [In]Securities: Man in the Mirror: The SEC Looks into the Mirror Protocol by Aegis Frumento Esq (BrokeAndBroker.com Blog)Dramatic Development in FINRA Small Firm Board of Governors Petition Race / Candidate David Sukoff Suspends Campaign in Favor of Former Governor Stephen KohnFINRA Cybersecurity… [read post]
13 Jun 2022, 7:01 am
Guest Blog: Now You See It, Now You Don't (BrokeAndBroker.com Blog)<a href="#templeton">SEC Halts Fraudulent Real Estate-Related Investment Offerings (SEC Release)</a>SEC Obtains Final Judgments Ordering Payment of Over $75 Million in Stock Manipulation Scheme (SEC Release)Federal Court Orders California Man to Pay Over $600,000 for Commodity Pool Fraud / Defendant is an Associated Person of a Commodity Pool Operator (CFTC Release)FINRA Fines and Suspends Rep for Towing… [read post]
13 Jun 2022, 7:01 am
Guest Blog: Now You See It, Now You Don’t (BrokeAndBroker.com Blog)Former Chairman and Managing Partner of Energy Company Pleads Guilty to $15 Million Ponzi Scheme (DOJ Release)SEC Charges Rochester, NY, and City’s Former Executives and Municipal Advisor with Misleading Investors / City sold $119 million of bonds to investors without disclosing financial distress (SEC Release)SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund (SEC… [read post]
13 Jun 2022, 7:01 am
Dramatic Development in FINRA Small Firm Board of Governors Petition Race / Candidate David Sukoff Suspends Campaign in Favor of Former Governor Stephen Kohn SEC Charges Firm and Five Brokers with Violations of Reg BI / Brokerage firm sold $13.3 million worth of high-risk bonds to retirees and other retail investors (SEC Release)SEC Charges "Millionaire Maker" Author with Selling Securities in Unregistered Oil and Gas Offerings (SEC Release)SEC Charges Louisiana Radio Host with Selling… [read post]
9 Jun 2022, 2:17 pm
The post Singer Pharrell Williams joins Baltimore Arena project as budget jumps to $200M first appeared on Maryland Daily Record. [read post]
