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December 18, 2019

Maybe it's the upcoming Christmas and New Year holidays. Maybe a lot of prosecutors and regulators buckled down yesterday and cleared their desks. Maybe it's just the confluence of the stars in the heavens. Whatever the cause, we sure as hell got a lot of industry news today and, as such, we're pre-empting the usually brilliant (and at times mesmerizing) commentary from our publisher Bill Singer, Esq., and offering you links to our companion online publication the Securities Industry Commentator (which, truth be told, is often brilliant in its own right and has often risen to mesmerizing heights). Oh . . . and one other thing . . . we got some really fun Golden Oldies' music videos embedded throughout today's SIC.


FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations (FINRA Release)

Owner of Purported U.K. Investment Firm and Two Richmond-Area Men Charged for Roles in Investment Fraud Scheme (DOJ Release)

Third Conspirator Pleads Guilty to Participation in a Ponzi Scheme Involving $2.5B in Transactions and $1B in Loss (DOJ Release)

Two South Bay Residents Indicted For Securities Fraud Relating To Palo Alto Networks, Inc. / The Insider Trading Scheme Allegedly Generated $7 Million in Illegal Profits (DOJ Release)

Manhattan Fund Manager Charged With Misappropriating Clients' Money (DOJ Release)

Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring (SEC Release)

Former Yellowstone Partners' CEO Pleads Guilty / David Hansen Admits to 8-Year Wire Fraud Scheme (DOJ Release)

Ponte Vedra Man Sentenced To 5 Years In Federal Prison And Ordered To Pay $8.9 Million In Restitution For Fraud And Money Laundering (DOJ Release)

Pro Se Petitioner's Lucia Challenge Deemed Untimely by 9Cir. Jacob Keith Cooper, Petitioner, v. United States Securities and Exchange Commission, Respondent (Memorandum, 9Cir)

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