Securities Industry Commentator by Bill Singer Esq

November 11, 2021

Justice Department Sues Uber for Overcharging People with Disabilities (DOJ Release)

South Bay Man Sentenced to Over 8 Years in Prison for Movie Investment Scam and for Fraudulently Selling House Bought with Illicit Proceeds (DOJ Release)

Whitefish man claiming to be former a CIA agent admits scheme to defraud investor of $2.3 million to fund bogus "off the books" rescue missions (DOJ Release)

Corvallis ex-lawyer sentenced to prison for defrauding investors in real estate investment scheme, evading income taxes (DOJ Release)

Management Consulting Firm Partner Charged In Insider Trading Scheme / Defendant Was a Lead Consulting Firm Partner Advising an Investment Bank on Its Acquisition of GreenSky, Inc. (DOJ Release)

SEC Charges Partner at Global Consulting Firm With Insider Trading (SEC Release)

Queens Man Convicted of Securities and Wire Fraud Conspiracies Relating to the Foreign Exchange Market / Defendant's Scheme Targeted the Korean-American Community in Queens (DOJ Release)

SEC Brings Charges in Manipulative Free-Trading Penny Stock Scheme (SEC Release)

SEC Obtains Court Order to Enforce Investigative Subpoena for Testimony

Registration of Two Digital Tokens Halted (SEC Release>

SEC Awards Over $15 Million to Two Whistleblowers
Order Determining Whistleblower Award Claims

The Lessons of Structured Data by SEC Commissioner Caroline A. Crenshaw

A Call to Action: Recommendations for Complying with Reg BI (Remarks at the ALI CLE 2021 Conference on Life Insurance Company Products by SEC Commissioner Allison Herren Lee)

Aegis Capital Censured and Fined $1.05 Million by FINRA and Ordered to Pay $1.7 Million in Restitution and Undertake Supervisory Review
In the Matter of Aegis Capital Corp., Respondent (FINRA AWC)

Aegis Capital Branch Owner/Manager and Branch Supervisor Fined, Suspended, and Ordered to Undertake Continuing Education for Supervisory Lapses
In the Matter of Joseph Michael Giordano and Roberto Birardi, Respondents,(FINRA AWC)

FINRA Fines and Suspends Rep for Untimely Disclosure of Tax Lien
In the Matter of Jose Luis Batalla, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Forging Customer Signature on Insurance Application
In the Matter of Andrew Timothy Durham, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Outside Securities Account
In the Matter of Garrett Manning, Respondent (FINRA AWC)

FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement ( Blog)

There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear ( Blog)