An irreverent Wall Street Blog

Securities Industry Commentator by Bill Singer Esq

May 12, 2020


SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)

FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via Email
In the Matter of Sune Gaulsh, Respondent (FINRA AWC)

FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cut
In the Matter of Robert Nordaune, Respondent (FINRA AWC)

CityMD mistakenly told 15,000 people with coronavirus antibodies they're immune (CNBC by William Feuer)

If Landlords Get Wiped Out, Wall Street Wins, Not Renters /  Bans on evictions and rent strikes could push out small investors.(Bloomberg Businessweek by Prashant Gopal and Oshrat Carmiel)

Live Nation, Bishop Gunn host coronavirus pandemic's first-ever socially distant concert / The live music venue will limit seating capacity to 229 (Fox Business by Angelica Stabile)

Trump orders federal retirement money invested in Chinese equities to be pulled / The assets at hand number around $4.5 billion in Chinese stocks (Fox Business by Blake Burman)

Live Nation, Bishop Gunn host coronavirus pandemic's first-ever socially distant concert / The live music venue will limit seating capacity to 229 (Fox Business by Angelica Stabile)

Trump orders federal retirement money invested in Chinese equities to be pulled / The assets at hand number around $4.5 billion in Chinese stocks (Fox Business by Blake Burman)

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