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10 Apr 2022, 5:47 pm
Singer-Vine and distributed under a Creative Commons Attribution – Share Alike 4.0 International license. [read post]
9 Apr 2022, 4:01 pm
Said Doug Dodson, a 39-year-old classical singer in Atlanta, quoted in "LOSER/When you fail at Wordle for the first time, it may affect you more than you think" (Slate) Dodson said he even finds it amusing to occasionally post his losing grids on social media: “If I didn’t get it in some spectacularly embarrassing way, I will share it. [read post]
9 Apr 2022, 11:14 am
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab (BrokeAndBroker.com Blog)Former Analyst Sentenced To 33 Months In Prison For Committing Insider Trading Through Front-Running (DOJ Release)SEC Charges Wisconsin Woman in Fraud Scheme Targeting Hmong-Americans (SEC Release)What Happens in The Metaverse Does Not Stay In The Metaverse Texas Securities Commissioner Stops Metaverse Casino Securities Scheme (TSSB Release)New York Man Pleads Guilty for His Role in… [read post]
9 Apr 2022, 11:14 am
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings (BrokeAndBroker.com Blog)District of Columbia Man Sentenced to 56 Months in Prison for Fraud, Money Laundering, and Identity Theft Schemes / Schemes Caused More Than $1.5 Million in Losses (DOJ Release)Former Goldman Sachs Investment Banker Convicted in Massive Bribery and Money Laundering Scheme / Roger Ng Conspired with a Malaysian Socialite and Malaysian Government Officials to Pay Bribes to a Dozen Foreign Officials and to… [read post]
9 Apr 2022, 11:14 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6395/securities-industry-commentator/GUEST BLOG: Advisor Perspectives – An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates (BrokeAndBroker.com Blog)$11M father-daughter decades-long Ponzi scheme ends with guilty pleas for the whole family (Financial Planning by Justin L. [read post]
9 Apr 2022, 11:14 am
GUEST BLOG: Advisor Perspectives – An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6396/michael-king-recruiter/For Wall Street advisors thinking of making a move to another firm, the options can be overwhelming. [read post]
9 Apr 2022, 11:14 am
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab (BrokeAndBroker.com Blog)For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog)Montgomery County and Florida Women Convicted of Conspiring to Access Company Computers For Money (DOJ Release)SEC Charges Shareholders, Attorney in Penny Stock Fraud Scheme (SEC Release)"Building Upon a Long Tradition" - Remarks before the Ceres… [read post]
9 Apr 2022, 11:14 am
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog)Former Managing Partner Of Manhattan Investment Advisory Firm Sentenced To 12 Years For Defrauding Investors In An Over $120 Million Ponzi-Like Scheme (DOJ Release)SEC Charges Four Individuals Involved in Investment Fraud Targeting Retirees (SEC Release)SEC Charges Former Executives of Florida Cash Advance Company with Defrauding Retail Investors (SEC Release)SEC Charges Third… [read post]
7 Apr 2022, 8:08 am
Scott’s performances are known to be marked by rowdiness bordering on danger, and the singer has even been arrested twice in the past for encouraging people to rush the stage in direct defiance of public safety orders. [read post]
7 Apr 2022, 8:08 am
Scott’s performances are known to be marked by rowdiness bordering on danger, and the singer has even been arrested twice in the past for encouraging people to rush the stage in direct defiance of public safety orders. [read post]
5 Apr 2022, 6:05 am
James Singer: Russia Decrees Patent Owners from the U.S. and Other “Unfriendly Countries” Not Entitled to Compensation for Infringement (Source: JD Supra) Blake Brittain: Canadian Pfizer Partner Sues to Head Off Patent Lawsuit Over COVID-19 Vaccine (Source: Reuters) Ryan Mac and Kellen Browning: Apps and Oranges: Behind Apple’s ‘Bullying’ on Trademarks (Source: The New York Times) David Lawder and Andrea Shalal: No Agreement Yet on WTO Vaccine Patent… [read post]
4 Apr 2022, 6:58 am
In 2019, the district court ruled in favor of the Warhol Foundation after finding that Warhol had transformed the singer in the photograph “from a vulnerable, uncomfortable person to an iconic, larger-than-life figure. [read post]
3 Apr 2022, 9:04 am
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6384/merrill-lynch-cma/Perhaps the last thing that Plaintiff in a federal lawsuit wants to hear from the judge is "I don't care. [read post]
3 Apr 2022, 9:04 am
The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Monmouth County Man Admits Orchestrating Multimillion-Dollar Accounts Receivable Factoring Scheme (DOJ Release)Colorado CEO and Fund Manager Admits to $11 Million Securities Fraud Scheme (SEC Release)Florida-Based Companies and Their Owner Settle Mid-Trial for $1.8 Million for Fraudulent Forex and Digital Asset Scheme (CFTC Release)SEC Slaps Generic, Non-Specific Whitewash Over… [read post]
3 Apr 2022, 9:04 am
3Cir Considers Absolute Privilege For Alleged Form U5 Defamation (BrokeAndBroker.com Blog)Canadian Man Arrested and Charged with Conspiracy, Wire Fraud / Defendant is co-conspirator in a $300 million nationwide telemarketing fraud scheme (DOJ Release)Rochester Man Sentenced To 10 Years' Imprisonment In Multi-Million Dollar Nationwide Ponzi Scheme (DOJ Release)SEC Charges California Investment Adviser for Undisclosed Conflicts of Interest Related To Real Estate Ponzi (SEC Release)3Cir Considers… [read post]
3 Apr 2022, 9:04 am
FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)Commission Statement Relating to Certain Administrative Adjudications (SEC)Senior Executive of Oil-Services Company Sentenced to Three Years for $886 Million Securities Fraud Scheme (DOJ Release)Restraining Order Entered Against Florida Operators of Technical-Support Fraud Scheme Targeting Seniors (DOJ Release)Two Men Sentenced to Combined 13 Years in $1.5 Million Apple Gift Card Scheme (DOJ Release)Manvel man sent to prison… [read post]
3 Apr 2022, 9:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6383/securities-industry-commentator/The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Interactive Brokers Wins $26.7 Million Counterclaim Against Customers in Stock Manipulation CaseDong Fang, Xingxian Li, Qixu Wang, and Jingxue Zhang, Claimants, v. [read post]
3 Apr 2022, 9:04 am
SEC Slaps Generic, Non-Specific Whitewash Over Database Scandal (BrokeAndBroker.com Blog)SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution FacilitiesStatement on Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities by SEC Commissioner Caroline A. [read post]
3 Apr 2022, 9:04 am
FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)Two Men Sentenced to Combined 13 Years in $1.5 Million Apple Gift Card Scheme (DOJ Release)Manvel man sent to prison for draining co-workers in investment scheme (DOJ Release)SEC Awards $160,000 and $80,000 to Two WhistleblowersOrder Determining Whistleblower Award ClaimsPrepared Remarks of SEC Chair Gary Gensler On Crypto Markets (Penn Law Capital Markets Association Annual Conference)Canadian Man Arrested and Charged with… [read post]
1 Apr 2022, 11:18 pm
It hasn’t gotten better: Singer, songwriter, liberal activist and now John McCain scourge Jackson Browne filed a... [read post]
