An irreverent Wall Street Blog

The Securities Industry Commentator by Bill Singer Esq

August 7, 2020


SEC Finds It Has Jurisdiction To Review FINRA's Denial of Access to Its Arbitration Forum
In the Matter of the Consolidated Arbitration Applications for Review of Action Taken by FINRA (SEC Order)

9Cir Reverses and Remands SEC v. Yang -- Cites Supreme Court's Recent Liu on Disgorgement
SEC, Plaintiff/Appellee, v. Robert Yang, et al., Defendants/Appellants v. Celtic Bank, Third-Party-Defendant [Stephen J. Donell, Receiver] (9Cir Opinion)

SEC Charges Former Investment Adviser with Insider Trading (SEC Release)

SEC Charges Consumer Loan Company With FCPA Violations (SEC Release)

Biofuel Fraudster Sentenced to Seven Years in Prison for Scamming Multiple Federal Agencies and Customers (SEC Release)

Goldman names new head of digital assets in bet that blockchain is the future of financial markets (CNBC by Hugh Son)

FINRA Imposes Fine and Suspension for Signature Forgeries in TIAA IRA Rollovers
In the Matter of Shaun C. Simmons, Respondent (FINRA AWC)

FINRA Imposes Fine and Suspension on Associate Advisor for Signing Senior RR's Name on Forms
In the Matter of John Pace McConkie, Respondent (FINRA AWC)

FINRA Imposes Fine and Suspension on Rep for 96 Discretionary Trades
In the Matter of Serge Parakhnevich, Respondent (FINRA AWC)

FINRA Imposes Fine and Suspension on Rep for 36 Unauthorized Trades
In the Matter of Sylvester Knox, Respondent (FINRA AWC)

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