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15 Apr 2022, 2:34 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6407/securities-industry-commentator/FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems (BrokeAndBroker.com Blog)Former Domino's Pizza Accountant to Pay Nearly $2 Million Penalty for Insider Trading (SEC Release)SEC Awards $580,000 to Whistleblower ClaimantOrder Determining Whistleblower Award… [read post]
18 Dec 2020, 9:41 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5602/securities-industry-commentator/GUEST BLOG [In]Securities: Ringing Out for Christmas Day By Aegis Frumento Esq (BrokeAndBroker.com Blog)Pandemic prompts Wall Street to look south for Florida's life and work benefits (Reuters by Svea Herbst-Bayliss)Robbins Sentenced To 60 Months In Federal Prison For Securities Fraud And Money Laundering… [read post]
16 Nov 2018, 4:03 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4296/securities-industry-commentator/GUEST BLOG: Giving Thanks by Aegis Frumento Esq (BrokeAndBroker.com Blog)Springfield Man Pleads Guilty to Federal Drug Charge After Shipping Marijuana in Styrofoam Rocks Out of State (DOJ Release)District Court Enters Temporary Restraining Order Blocking Three Elder Fraud Schemes From Sending Fraudulent… [read post]
8 Sep 2020, 1:03 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5420/securities-industry-commentator/FINRA Imposes Fine and Suspension Over Deceased Second Cousin Once Removed (BrokeAndBroker.com Blog)Antitrust Division Announces Updates To Civil Investigative Demand Forms And Deposition Process (DOJ Release)SEC Charges Connecticut Investment Adviser with Defrauding Retired Couple (SEC Release)SEC Charges New… [read post]
8 Aug 2020, 2:21 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5374/securities-industry-commentator/FINRA Alerts Firms to Use of Fake FINRA Domain Name (Regulatory Notice)SEC Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations (SEC Release)Advisory Firm Settles Charges of Defrauding Investors, Agrees to Refund Allegedly Ill-Gotten Gains to… [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG… [read post]
19 Nov 2021, 3:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6177/securities-industry-commentator/FINRA Arbitrator Says Customers' Claims Are Baseless in Win for Industry Respondents (BrokeAndBroker.com Blog)Federal Reserve Board announces termination of enforcement action with The Goldman Sachs Group, Inc. and Goldman Sachs & Co. [read post]
17 Sep 2022, 9:15 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6671/securities-industry-commentator/Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration (BrokeAndBroker.com Blog)Making lemonade of legal lemons, new wave of ERISA class actions accuse fiduciaries of 'imprudently' using low-fee, high-rated funds, like BlackRock TDFs / The lawsuits against 401(k) plan sponsors also… [read post]
28 Nov 2019, 4:44 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4940/securities-industry-commentator/Russian National Charged with Decade-Long Series of Hacking and Bank Fraud Offenses Resulting in Tens of Millions in Losses and Second Russian National Charged with Involvement in Deployment of “Bugat” Malware / Reward of up to $5 Million Offered for Information Leading to Arrest or Conviction (DOJ… [read post]
21 Nov 2017, 6:40 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. [read post]
11 Dec 2020, 7:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5591/securities-industry-commentator/SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution (SEC Release)Former Nomura RMBS Trader Who Defrauded Customers is Sentenced (DOJ Release)Federal Court Says Former Morgan Stanley Advisor's Discrimination Claims Are Time Barred… [read post]
30 Apr 2021, 3:58 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5831/securities-industry-commentator/Testimony Before the House Committee on Financial Services of SEC Chair Gary Gensler / May 6, 2021GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq (BrokeAndBroker.com Blog)New York and Florida Resident Charged with $3.8 Million Paycheck Protection Program Fraud Scheme (DOJ Release)Two Texas Women… [read post]
2 Oct 2020, 8:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5471/securities-industry-commentator/Libor Law Is Adrift in Albany and Wall Street Is Getting Nervous (Bloomberg by William Shaw and Keshia Clukey)Kitsap County guardian sentenced to one year in prison for stealing more than $250,000 from elderly and disabled clients / Defendant was appointed by Kitsap County and Suquamish Tribal Court judges to… [read post]
4 Jul 2022, 7:46 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6538/securities-industry-commentator/GUEST BLOG [In]Securities: Lyin' Eyes: Securities Fraud or Just Plain Fraud? [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]
29 Nov 2017, 11:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. [read post]
13 Dec 2019, 12:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4964/securities-industry-commentator/FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations (FINRA Release)Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute (BrokeAndBroker.com Blog)CFTC Awards More Than $1 Million to Whistleblower (CFTC Release)IN RE: TRIBUNE COMPANY FRAUDULENT CONVEYANCE… [read post]
15 May 2020, 4:55 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5230/securities-industry-commentator/Zuckerberg says employees moving out of Silicon Valley may face pay cuts (CNBC by Salvador Rodriguez)Many Americans used part of their coronavirus stimulus check to trade stocks (CNBC by Maggie Fitzgerald)The Winners and Losers When New York’s Luxury Home Market Reopens / The real estate industry… [read post]
20 Nov 2020, 10:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5553/securities-industry-commentator/OCC Assesses $250 Million Civil Money Penalty Against JPMorgan Chase Bank, N.A.GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq (BrokeAndBroker.com Blog)Louisiana Woman Indicted in $4.8M Elder Fraud Scheme (DOJ Release)SEC Settles with Investment Adviser Who Failed to Disclose Conflicts… [read post]
7 May 2021, 4:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5843/securities-industry-commentator/In Pandemic Times An SEC Investment Advisers Act Fraud Complaint Survives a Motion to Dismiss (BrokeAndBroker.com Blog)Fraudster Sentenced to More Than 13 Years in Parallel Criminal Case (SEC Release)Madison County Woman Indicted for Mail Fraud, Wire Fraud (DOJ Release)SEC Charges Texas Investment Adviser and… [read post]
