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EPIC!!! Securities Industry Commentator from Bill Singer Esq

December 10, 2020



A NOTE FROM BILL SINGER: Today's Securities Industry Commentator is sooooo epic, soooooo lengthy, soooooo fabulous, that we're also publishing it here at the BrokeAndBroker.com Blog. Omigod, you should get yourself a huge mug of hot coffee and a box of donuts, but don't tell your spouse that you want to eat the entire dozen,  maybe eat like 6 -- no 8 -- of them, and then wrap the other 4 in aluminum foil, and then claim that you only bought 4 and want to share them with your beloved. Not that I would ever do anything like that. Perish the thought. Hmmm, donuts!


READ FULL-TEXT FTC v. Facebook Complaint
Federal Trade Commission, Plaintiff, v. Facebook, Inc., Defendant 

READ the FULL-TEXT States v. Facebook Complaint
Plaintiff States v. Facebook, Inc.

General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations (SEC Release)

Former Founder And CEO Of Nanotechnology Company Charged In Manhattan Federal Court In Connection With Multimillion-Dollar Securities Fraud Scheme / James Jeremy Barbera Charged with Defrauding Investors Out of Approximately $12.2 Million (DOJ Release)

SEC Charges Technology Company, Former CEO, and Stock Promoter with Fraud (SEC Release)

Cryptocurrency Founder "Bruno Block" Charged With Multimillion-Dollar Tax Evasion Scheme (DOJ Release)

SEC Charges Individual for Self-Minting Scam and Unregistered ICO (SEC Release)

Greenwich Resident Charged with Federal Offenses Stemming from Alleged Investment Fraud Scheme (DOJ Release)

Former Chief Operating Officer Who Defrauded Asset Management Company And Its Clients Sentenced To 3 Years In Prison (DOJ Release)

Global Securities Pricing Service to Pay $8 Million for Compliance Failures (SEC Release)

Five Defendants in a Microcap Fraud Scheme Attempting to Capitalize On the Covid-19 Pandemic Ordered to Pay Over $12 Million (SEC Release)

Defendant Sentenced in $25 Million Diamond Ponzi Scheme (DOJ Release)

SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data / Fosters a competitive environment for core components of the national market system for the first time (SEC Release)

Statement on Adoption of Market Data Infrastructure Rules under Regulation NMS by SEC Chairman Jay Clayton

Roadwork Ahead: Upgrading Market Data Infrastructure (Statement by SEC Commissioner Allison Herren Lee)

Statement at Open Commission Meeting to Adopt Market Data Infrastructure Rules under Regulation NMS by SEC Commissioner Elad L. Roisman

Market Data Infrastructure: Open Meeting Statement by SEC Commissioner Hester Peirce

Statement on Market Data Infrastructure by SEC Commissioner Caroline A. Crenshaw

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