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Securities Industry Commentator by Bill Singer Esq

September 26, 2022

Today on BrokeAndBroker.com Blog's companion site 
"Securities Industry Commentator"


Sioux Falls Man Arrested for Role in Bank Fraud & Money Laundering Conspiracies (DOJ Release)

Former Securities Brokers Sentenced to Federal Prison Terms for Perpetrating Securities Fraud Scheme (DOJ Release)

Former Broker Sentenced to 36 Months in Prison for Stock Fraud Scheme (DOJ Release)

Business Partner Of Art Dealer Inigo Philbrick Pleads Guilty To Defrauding Art Buyers And Financers (DOJ Release)

Idaho I.T. Professional Pleads Guilty To Misappropriating Pre-Publication Investment Recommendations For Insider Trading Scheme / David Stone Electronically Accessed an Investment Advice Service's Unannounced Stock Picks and Used That Information to Generate Millions in Trading Profits and to Provide Inside Tips to Another (DOJ Release)

SEC Charges Compass Minerals for Misleading Investors about Its Operations at World's Largest Underground Salt Mine / Company also Charged for Disclosure Control Failures Involving Mercury Contamination in Brazil (SEC Release)

SEC Charges Executives and Director with Lying to Auditors (SEC Release)

SEC Charges Los Angeles-Based Company and Its Principal with Perpetrating an $11.7 Million Offering Fraud Targeting the Vietnamese-American Community (SEC Release)

SEC Charges Company President in Fraudulent Microcap Scheme (SEC Release)

SEC Charges Convertible Note Firm and Its Managing Member with Acting as Unregistered Securities Dealers (SEC Release)

FINRA Censures and Fines Former Morgan Stanley Rep for Discretion and Text Messaging
In the Matter of Miche D. Jean, Respondent (FINRA AWC)

FINRA Censures and Fines H.C. Wainwright and Two IB Principals for Text Messages
In the Matter of H.C. Wainwright & Co., LLC, John Wesley Chambers, and Robert Eugene Kristal, Respondents (FINRA AWC)

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