An irreverent Wall Street Blog

Securities Industry Commentator by Bill Singer Esq

May 13, 2021


Two Indicted for $2 Million Scheme that Defrauded Over 20 Investors (DOJ Release)

Long Island Investment Advisor Pleads Guilty to Securities Fraud Conspiracy / Defendant Misappropriated More Than $700,000 From Investments in Pre-IPO Companies (DOJ Release)

Cheshire Investment Advisor Admits Stealing More Than $600K from Elderly Client (DOJ Release)

Swampscott Financial Advisor Pleads Guilty to Stealing Former Client's Retirement Assets (DOJ Release)

Franklin, Tennessee Couple Charged With Defrauding Elderly Widow Of $1.7 Million / Allegations Include Draining the Accounts of Elderly Dementia Patient (DOJ Release)

CEO Of Private Equity Fund Charged In Manhattan Federal Court With Lying To Bank To Secure $95 Million Loan / Elliott Smerling Charged with Wire Fraud, Bank Fraud, and Aggravated Identity Theft for Falsifying Capital Commitments, Fund Finances, to Secure $95 Million Loan (DOJ Release)

Two Individuals Charged for their Roles in Massive Cattle Ponzi Scheme / Defendants Raised more than $650 Million from Investors, Who Lost Tens of Millions of Dollars (DOJ Release)

SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports (SEC Release)

In the Matter of the Claims for an Award (SEC Whistleblower Order)

Whistleblowers Battle Over How To Slice the SEC Award Pie (BrokeAndBroker.com Blog)

Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint (BrokeAndBroker.com Blog)

Federal Court Rejects TRO Against Brokerage Firm and RIA (BrokeAndBroker.com Blog)

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