Securities Industry Commentator by Bill Singer Esq

September 28, 2020

Inside the JPMorgan Trading Desk the U.S. Called a Crime Ring / The U.S. says the precious metals desk at JPMorgan was a racketeering operation. Now the bank is poised to pay a record penalty for spoofing. Here's a look behind eight years of alleged conspiracy (Bloomberg by Tom Schoenberg)

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests (SEC Filing)

Financial Planner Sentenced To Federal Prison For Investment Fraud And Failure To File Tax Returns (DOJ Release)

Mount Laurel, NJ Man Arrested and Charged With Almost 30 Counts of Fraud in Connection with Two Business Schemes (DOJ Release)

Georgia Man Sentenced to Prison for Running Ponzi Scheme (DOJ Release)

Head Of Investment Management Firm Sentenced To 85 Months In Prison In Connection With $18 Million Pre-IPO Securities Fraud Scheme (DOJ Release)

In the Matter of Mark Feathers (SEC ALJ Initial Decision)

SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs (SEC Release)

SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements (SEC Release)

SEC Charges Former Mining Executive with Making False Statements (SEC Release)

SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct (SEC Release)

June Bug vs. Hurricane:* Whistleblowers Fight Tremendous Odds and Deserve Better (SEC Statement by Commissioner Allison Herren Lee)