Securities Industry Commentator by Bill Singer Esq

October 3, 2022

SEC Four-Year Strategic Plan Is Generic, Non-Specific, Drivel ( Blog)

SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security (SEC Release)

SEC Halts Crypto Asset-Related Fraud Victimizing Latino Investors (SEC Release)

SEC Charges Two Canadian Software Engineers with Insider Trading (SEC Release)

SEC Charges Four Defendants in Connection with Fraudulent Scheme to Sell Public Company Stock (SEC Release)

SEC Charges Family Office Executives with Insider Trading (SEC Release)

SEC Charges California Attorney for Role in $910 Million Ponzi Scheme (SEC Release)

SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings (SEC Release)

SEC Charges Former Controller of Network Infrastructure Company with Accounting Fraud (SEC Release) 

SEC Charges Infinity Q's Former Senior Officer for Role in Massive Valuation Fraud (SEC Release)

SEC Charges South Florida Man and Others with Real Estate Investment Fraud (SEC Release) 

SEC Files Charges in a Crypto Asset Pump-And-Dump Scheme (SEC Release) 

SEC Charges Vivera Pharmaceuticals and Its CEO with Offering Fraud (SEC Release)

SEC Charges Michigan Resident with Conducting an Unregistered Securities Offering (SEC Release)

CFTC Charges Digital Asset Derivatives Platform and Miami Resident with Facilitating Unlawful Futures Transactions, Failing to Register, and Attempted Manipulation of Native Token (CFTC Release)

CFTC Orders Swap Execution Facility to Pay $1.9 Million for Swap Reporting and Core Principle Violations (CFTC Release)

Statement of CFTC Commissioner Christy Goldsmith Romero Regarding Enforcement Action and Settlement with Swap Execution Facility BGC Derivative Markets, L.P. / Systemic Swap Reporting Violations Harm Market Transparency and Integrity

Wall Street Regulator Eliminates Cap on Fines for Rule-Breakers (Barron's by Kenneth Corbin)

FINRA Extended Hearing Panel Expels NYPPEX, Bars Former CEO Laurence Allen and Suspends Current CEO and CCO Michael Schunk (FINRA Release)

FINRA Censures and Fines  Lightspeed Financial Services Group LLC for Order Coding
In the Matter of Lightspeed Financial Services Group LLC, formerly known as Lime Brokerage, LLC, Respondent (FINRA AWC)

FINRA Censures and Fines Rep for Insurance OBA
In the Matter of German Ricardo Mora, Respondent (FINRA)

FINRA Censures and Fines Rep for Economic Injury Disaster Loan
In the Matter of Steven Horn, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for OBA and PST
In the Matter of Nathan M. Plumb, Respondent (FINRA AWC)