Securities Industry Commentator by Bill Singer Esq

October 5, 2022

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

Justice Department Expands Transnational Elder Fraud Strike Force to Protect Older Americans from Fraud (DOJ Release)

Former Lawyer Sentenced to More than 3 Years in Prison for Conning Clients via Sham Court Documents Containing Forged Judge Signatures (DOJ Release)

Rancher Sentenced for Running $244 Million "Ghost Cattle" Scam (DOJ Release)

North County Man Indicted for Multimillion-Dollar Ponzi Scheme (DOJ Release)

Non-Payment of Federal Income Tax on Cryptocurrency Earnings Leads to Conviction for South Florida Resident (DOJ Release)

SEC Charges Southern California Firm with Operating a Ponzi-Type Scheme (SEC Release)

SEC Obtains Final Judgment Against Former Dewey & Leboeuf, LLP Executive (SEC Release)

Statement on Financial Stability Oversight Council's Report on Digital Asset Financial Stability Risks and Regulation Before the Financial Stability Oversight Council Open Meeting by SEC Chair Gary Gensler

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)

The CE Transformation & Maintaining Qualifications Program (FINRA Unscripted)

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

FINRA Fines and Suspends Rep for Willful Omission of Felony Charges
In the Matter of Stacee Lei Bradley, Respondent (FINRA AWC)

FINRA Censures and Fines UBS Securities for VWAP and FTD
In the Matter of UBS Securities LLC, Respondent (FINRA AWC) 

FINRA Censures and Fines UBS Securities for Aggregation of Foreign Affiliate Accounts
In the Matter of UBS Securities LLC, Respondent (FINRA AWC)

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 AWC)

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) 

FINRA Arbitration Panel Awards Over $400,000 in Damages in REIT Case
In the Matter of the Arbitration Between Jill Jester, Claimant, v. Dinosaur Financial Group, LLC, Respondent (FINRA Arbitration Award)