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5 May 2016, 11:14 am
This is a common sense rule that will go a long way in combating some of the financial industry’s worst practices. [read post]
5 May 2016, 11:14 am
This is a common sense rule that will go a long way in combating some of the financial industry’s worst practices. [read post]
29 Apr 2022, 12:40 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6431/securities-industry-commentator/A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't (BrokeAndBroker.com Blog)SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining (SEC Release)APPLETON MAN SENTENCED TO 15 YEARS' IMPRISONMENT FOR PONZI SCHEME (DOJ Release)Providence Man… [read post]
16 Oct 2020, 11:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5495/securities-industry-commentator/SEC Issues Record $114 Million Whistleblower Award (SEC Release)When the Nail Fails – Remarks before the National Society of Compliance Professionals by SEC Commissioner Hester PeirceGoldman Sachs Charged in Foreign Bribery Case and Agrees to Pay Over $2.9 Billion (DOJ Release)SEC Charges Goldman… [read post]
12 Jul 2019, 3:42 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4696/securities-industry-commentator/United States of America, Appellee, v. [read post]
26 Sep 2022, 3:18 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6683/securities-industry-commentator/SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel (BrokeAndBroker.com Blog)How Raymond James bungled oversight of a broker who scammed a 98-year-old (Financial Planning by Tobias Salinger)Two Former eBay Executives Sentenced to Prison for Cyberstalking (DOJ Release)Former Washington state… [read post]
8 Jun 2020, 12:20 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5264/securities-industry-commentator/Brawls Erupt in U.S. [read post]
25 Sep 2020, 12:49 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5459/securities-industry-commentator/Love In the Time of Covid Expires for SEC (BrokeAndBroker.com Blog)White Plains Financial Adviser Arrested For Embezzlement (DOJ Release)Founders And Executives Of Off-Shore Cryptocurrency Derivatives Exchange Charged With Violation Of The Bank Secrecy Act / Arthur Hayes, Benjamin Delo,… [read post]
4 Jul 2022, 7:46 pm
by Aegis Frumento Esq 7Cir Affirms Former Deutsche Bank Traders Chanu and Vorley's Spoofing ConvictionsUnited States of America, Plaintiff/Appellee, v. [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… [read post]
3 May 2019, 6:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4576/securities-industry-commentator/From the Bank of Spalding (or is that "Spaldeen" ?) [read post]
12 Jun 2020, 6:15 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5278/securities-industry-commentator/Pandemic Travel Patterns Hint at Our Urban Future / A snapshot of global transportation data during six months of coronavirus reveals diverging paths for cities. [read post]
31 Jul 2020, 4:48 am
Celtic Bank, Third-Party-Defendant [Stephen J. [read post]
26 Apr 2019, 1:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4564/securities-industry-commentator/"Protecting Investors from Misconduct / FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct" (FINRA Regulatory Notice 19-17) Bottle of White, Bottle of Red, Perhaps An… [read post]
17 Jan 2020, 12:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5023/securities-industry-commentator/OCC Issues Notice of Charges Against Five Former Senior Wells Fargo Bank Executives, Announces Settlement With Others (OCC Release)Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor? [read post]
3 Oct 2022, 3:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6695/securities-industry-commentator/The Disappearing Act of Elder Abuse in a TD Ameritrade FINRA Arbitration (BrokeAndBroker.com Blog)SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel (BrokeAndBroker.com Blog)The IPO Bust Blew a $575 Million Hole in Law Firm Revenue (Bloomberg Law by Roy Strom)Wall Street Regulator… [read post]
23 Aug 2019, 2:07 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4783/securities-industry-commentator/Man who Robbed West Mifflin PNC Bank Wearing a Pirates Hat and McDonald’s Uniform Shirt Will Spend 4+ Years in Prison (DOJ Release)Accountant Who Cheated Her Friends and Clients via a $27.5 Million Ponzi Scheme Sentenced to More than 8 Years in Federal Prison (DOJ Release)Two Women… [read post]
27 Jul 2020, 12:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5349/securities-industry-commentator/LAST CHANCE: VOTE FOR STEPHEN KOHN for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)CFTC Market Risk Advisory Committee Approves Subcommittee’s Single-Step Transition Recommendations at Public Meeting (CFTC Release)SEC Charges CEO and Company With Defrauding First Responders and Others… [read post]
27 Feb 2020, 11:14 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5096/securities-industry-commentator/Tito's Handmade Vodka Says It's No Good for Corona Virus SanitizerFounder of Russian Bank Charged with Tax Fraud / Allegedly Concealed $1 Billion in Assets and Income when Renouncing U.S. [read post]
8 Aug 2014, 7:38 am
Between 2002 and June 2008, the defendant, and his son Richard Kaufman, directed the Controller of American Industrial Sales, d/b/a RAK Industries, to provide false financial statements to Key Bank, and to the company’s outside accounting firm. [read post]
