An irreverent Wall Street Blog

Securities Industry Commentator by Bill Singer Esq

August 16, 2021


SEC Charges Pearson plc for Misleading Investors About Cyber Breach (SEC Release)

SEC Charges Penny Stock Company, CEO and Others with Multi-Million Dollar Fraud (SEC Release)

Former CEO Of Publicly Traded Houston Company Pleads Guilty To Accounting Fraud Scheme / Defendant Also Misappropriated More Than $5 Million From the Company (DOJ Release)

Financial Adviser Sentenced to Three and a Half Years in Prison for Swindling Millions From Clients (DOJ Release)

New York Investment Adviser Charged With Defrauding Clients And Misappropriating Their Money / Martin Ruiz Targeted Elderly Clients in New Mexico in Long-Running Scheme (DOJ Release)

SEC Obtains Court Order to Stop Investment Adviser's Alleged Ongoing Offering Fraud (SEC Release)

SEC Obtains Emergency Relief, Charges Two Florida Companies and their Principal Officer with Operating a Ponzi Scheme (SEC Release)

SEC Charges Stock Promoter with Market Manipulation (SEC Release)

SEC Charges Florida Film Production Company and Its CEO with Fraud (SEC Release)

FINRA Alerts Firms to a Phishing Email Campaign Using Multiple Imposter FINRA Domain Names (FINRA Regulatory)

New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry / FINRA Requests Comments on Report (FINRA News Release)

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