Securities Industry Commentator by Bill Singer Esq

September 13, 2021

SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay More Than $539 Million in Settlement for Distribution to Investors (SEC Release)

Recidivist Brad Haycraft Indicted in Helium Well Investment Scheme (TSSB Release)

SEC Obtains $15 Million Final Judgment Against Virginia Real Estate Developer (SEC Release)

SEC Obtains Final Judgment Against Former Consultant and Board Member Charged with Insider Trading (SEC Release)

SEC Obtains Judgments Against Defendants in a Microcap Fraud Scheme (SEC Release)

SEC Orders $700,000 Award to Whistleblower and Denies Related Action Award 
Order Determining Whistleblower Award Claim 

SEC Orders Over $400,000 Award to Whistleblower and Denies Award to Second Claimant 
Order Determining Whistleblower Award Claim

FINRA Censures and Fines SogoTrade for Unqualified Trading Supervisors
In the Matter of SogoTrade, Inc., Respondent (FINRA AWC)

FINRA Fines and Suspends Former Wells Fargo Clearing Rep for Outside Brokerage Accounts
In the Matter of Jacob Popek, Respondent (FINRA AWC)

FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor (FINRA Release)