Search for: "SEC v. Singer"
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19 Dec 2019, 12:57 am
Armstrong, Claimant, v. [read post]
20 Mar 2020, 12:47 am
Matthew Fine, Plaintiff, v. [read post]
29 Jan 2021, 6:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5675/securities-industry-commentator/SMARTMATIC USA CORP., SMARTMATIC INTERNATIONAL HOLDING B.V., and SGO CORPORATION LIMITED, Plaintiffs, v. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman,… [read post]
27 Jul 2020, 12:54 am
Miz, Claimant, v. [read post]
27 Nov 2020, 12:05 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5566/securities-industry-commentator/Customer's Annuities Lawsuit Backfires During FINRA Arbitration (BrokeAndBroker.com Blog)Brummer v. [read post]
18 Oct 2019, 4:41 am
In the Matter of the Arbitration Between Hitesh Mittal, Claimant, v. [read post]
6 Sep 2022, 4:06 am
by Aegis Frumento Esq (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)Fun While It Lasted. 2Cir Vacates SDNY Judgment in Citibank's $1.8 Billion Revlon Loan BlunderCitibank, N.A., Plaintiff/Appellant, v. [read post]
12 Feb 2018, 3:23 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/3828/securities-industry-commentator/ In today’s Securities Industry Commentator feed: Baton Rouge-Based Investment Adviser To Be Barred and Firm Registration To Be Revoked For Hiding Losses From Investors (SEC Litigation Release 24050) In Securities and Exchange Commission v. [read post]
24 Jul 2023, 4:11 am
JOIN TODAY -- FREE MEMBERSHIP United States of America, v. [read post]
1 Nov 2019, 4:53 am
Rathmanner, Claimant, v. [read post]
13 Aug 2022, 8:55 am
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [read post]
3 May 2019, 6:26 am
FINRA Department of Enforcement, Complainant, v. [read post]
13 Dec 2019, 12:38 am
FIRST CAPITAL REAL ESTATE INVESTMENTS, LLC, Petitioner-Appellant, v. [read post]
3 Apr 2023, 4:20 am
Securities Industry Commentator:A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6972/securities-industry-commentator/ In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015 (BrokeAndBroker.com Blog) FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) Steven Schwartz, Plaintiff, v. [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]
30 Jul 2019, 9:28 am
FINRA Department of Enforcement, Complainant, v. [read post]
14 Apr 2021, 8:00 am
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities (BrokeAndBroker.com Blog)SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud (SEC Release)SEC Obtains Final Judgments Against Three Defendants in International Microcap Manipulation Scheme (SEC Release)Gary Gensler Sworn in as Member of the SEC (SEC Release)Securities Commissioner Issues Order Stopping Fraudulent… [read post]
6 Mar 2020, 1:30 am
In the Matter of the Arbitration Between Anthony Giovan Atrasz, Claimant, v. [read post]
11 Jun 2021, 5:47 am
(BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
