BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
November 25, 2017
DOL Whistleblower
Darrell Whitman Files Emergency Request With US Office Of Special Counsel (BrokeAndBroker.com Blog)
http://www.brokeandbroker.com/3685/whitman-doj-whistleblower/
In 2010,
attorney Darrell Whitman became a Regional Investigator for the San Francisco
Region Office of Whistleblower Protection Programs ("OWWP"), which
was part of the United States Department of Labor's ("DOL's")
Occupational Safety and Health Administration ("OSHA"). Beginning in
2011, Whitman and others in the San Francisco OWWP office complained that they
were being hamstrung and short-circuited in their efforts to protect
whistleblowers against perceived retaliation -- essentially being prevented
from doing the job that they were being paid to do. In May 2015, Whitman was
fired. How ironic that Whitman, an OWWP investigator charged with protecting
whistleblowers from retaliation, found himself the victim of alleged
retaliation by OWWP. In response to his termination, Whitman sued. Today's
BrokeAndBroker.com Blog updates Whitman's pending case.
FINRA Plays Hide And
Seek With Six Years Of Unauthorized Sales And Withdrawals (BrokeAndBroker.com Blog)
http://www.brokeandbroker.com/3683/finra-awc-withdrawals/
In a recent
FINRA regulatory settlement, the lack of explanation as to the basic elements
of the case is baffling. Either the regulator doesn't think the facts are
important or it never got the facts or it lacks the ability to convey such
information. You judge for yourself.
Spoofing Email Sends
Payment To Minneapolis, Shanghai, And Bremen (BrokeAndBroker.com Blog)
http://www.brokeandbroker.com/3680/spoofing-email-/
The BrokeAndBroker.com Blog has frequently
covered stories involving spoofed emails that are sent to banks and brokerage
firms. Sometimes the recipients of these fraudulent emails are victims.
Sometimes, they're complicit. Sometimes, folks just go about their day and
despite all sorts of memos and policies over the years warning them against
accepting emails at face value, they disregard protocol and set off an
avalanche of trouble and pain. As
demonstrated in a recent federal criminal case, we got lots of scamsters alive
and well out there in cyberspace.
CEO CCO FINOP Fined
And Suspended Over Classification Of Personal Expenses
http://www.brokeandbroker.com/3678/finop-expenses-finra-/
(BrokeAndBroker.com
Blog) A FINRA regulatory settlement presents the case of a CEO, CCO, and FINOP
who was fined and suspended for classifying his personal expenses and business
expenses. That's a lot of titles for one person. Last month, his brokerage
firm's FINRA registration was terminated. All of which makes for some
interesting reading and raises some provocative questions.