Search for: "SEC v. Singer"
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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]
28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)SEC Charges Investment Adviser with Failing... [read post]
15 Mar 2012, 10:45 am
The SEC Couldn't Stop Madoff or Stanford But Jams Up Judge Rakoff Over Citigroup Settlementby Bill Singer, "Street Sweeper" Forbes.com, March 1... [read post]
21 Feb 2020, 1:29 am
Lee Stowell, Plaintiff/Respondent, v. [read post]
7 Sep 2021, 3:37 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6046/securities-industry-commentator/4 questions for Wall Street fraud expert Bill Singer (Financial Planning Podcast hosted by Julie Coleman)Federal Court Finds Lack of Jurisdiction In FINRA OHO Teleconferencing LawsuitAlpine Securities Corporation, Plaintiff, v. [read post]
5 Feb 2021, 10:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5687/securities-industry-commentator/SEC Suspends Trading in Inactive Issuer Touted on Social Media (SEC Release)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Amazon seller blasts the company's forced arbitration policy in congressional hearing on antitrust (CNBC by… [read post]
11 Jul 2022, 3:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6551/securities-industry-commentator/GUEST BLOG: [In]Securities: Watching You: The SEC Walks the Beat by Aegis Frumento Esq (BrokeAndBroker.com Blog)5Cir Sustains SEC's No-Deny Precondition for SettlementsSecurities and Exchange Commission, Plaintiff/Appellee, v. [read post]
19 Sep 2019, 1:32 am
Securities and Exchange Commission, Appellant, v. [read post]
8 Jan 2018, 3:16 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer. http://www.rrbdlaw.com/3769/securities-industry-commentator/In today’s Securities Industry Commentator feed:SEC Charges Connecticut Insurance Executive and Two Companies with Securities Offering Fraud (SEC Litigation Release No. 24028) In Securities and Exchange SEC v. [read post]
16 Jul 2021, 7:08 am
Monex Credit Company; et al., Defendants/Appellants (Memorandum)2Cir Affirms SEC v. [read post]
23 Jul 2021, 12:55 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5975/securities-industry-commentator/Statement on Investor Protection Related to Recent Developments in China by SEC Chair Gary GenslerFINRA Bars Founder of Integrity Brokerage Services and Fines Firm Over Association of Statutorily Disqualified IndividualDepartment of Enforcement, Complainant v. [read post]
28 Nov 2022, 3:50 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6780/securities-industry-commentator/Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)NOTICE TO CFP® PROFESSIONALS REGARDING FINANCIAL ADVICE ABOUT CRYPTOCURRENCY-RELATED ASSETSVirtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc.,… [read post]
1 Jun 2019, 1:51 am
Nomeland, Claimant, v. [read post]
8 Mar 2019, 8:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4480/securities-industry-commentator/SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud (SEC Release)In the Matter of Allan Michael Roth (SEC Order Denying Respondent's Motion to Postpone Filing Answer Indefinitely)Good Intentions Pave Merrill Lynch… [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]
21 May 2022, 10:04 am
Kohn Announces 2022 Run for Small Firm Governor on FINRA Board of Governors2Cir Says Failure to Disclose SEC Investigation Is Material MisrepresentationJoseph Noto, Garden State Tire Corp., Stephens Johnson, Individually and on Behalf of All Others Similarly Situated, Plaintiffs/Appellants, v. 22nd Century Group, Inc., Henry Sicignano, III, John T. [read post]
11 Dec 2020, 7:08 am
Lee Living Trust, et. al., Plaintiffs, v. [read post]
30 Jan 2020, 12:46 am
FINRA Department of Enforcement, Complainant, 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]
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]
