Featured in Today's Securities Industry Commentator by Bill Singer Esq

October 23, 2019

Featured in Today's Securities Industry Commentator


Morris County Man Admits Hacking Scheme That Targeted Two New Jersey Companies (DOJ Release)

Six Members Of Global Insider Trading Ring Charged In Manhattan Federal Court / Securities Traders Made Tens of Millions of Dollars in Illicit Profits Using Inside Information Stolen From Three Different Investment Banks and a Public Company (DOJ Release)

SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme ("Cohen-Nikas SEC Release")

Charges Two Bankers and Trader in Serial International Insider Trading Scheme ("Taylor-Windsor-El-Khouri SEC Release")

Financial Adviser Pleads Guilty To Running A Multimillion-Dollar Ponzi Scheme (DOJ Release)

Two plead guilty to participation in a Ponzi scheme involving $2.5 billion in transactions and $1 billion in loss (DOJ Release)

FINRA Arbitrator Cites "Monte Carlo" Allocation in Support of Expungement.
In the Matter of the Arbitration Between Kevin Clayton Cox, Claimant, v. Morgan Stanley, Respondent (FINRA Arbitration Decision)

Customer's Independent Decision Carries the Day in FINRA Expungement Hearing. In the Matter of the Arbitration Between John Spencer Bradley, Claimant, v. UBS Financial Services, Inc., Respondent (FINRA Arbitration Decision)