An irreverent Wall Street Blog

Securities Industry Commentator by Bill Singer Esq

August 14, 2020


FINRA Alerts Firms to Use of Fake FINRA Domain Name (Regulatory Notice)

SEC Charges Hertz's Former CEO With Aiding and Abetting Company's Financial Reporting and Disclosure Violations (SEC Release)

Advisory Firm Settles Charges of Defrauding Investors, Agrees to Refund Allegedly Ill-Gotten Gains to Harmed Clients (SEC Release)

SEC Charges Unregistered Brokers Who Sold Equialt Securities to Main Street Investors (SEC Release)

SEC Denies Two Whistleblower Claims
In the Matter of the Claim for Award (SEC Order Determining Whistleblower Award)

Empty apartments in Manhattan reach record high, topping 13,000 (CNBC by Robert Frank)

Here's how Robinhood is raking in record cash on customer trades - despite making it free (CNBC by Kate Rooney and Maggie Fitzgerald)

Finra Suspends Ex-Morgan Stanley Broker Who Advised on Outside Trading (AdvisorHub by Mason Braswell)

FINRA Imposes Fine and Suspension on Rep for Failing to Timely Close Customer's Account
In the Matter of Michael Erwin, Respondent (FINRA AWC)

Cease-and-Desist, Bar, and $1.05 Penalty Proposed by SEC ALJ
In the Matter of Laurie Bebo and John Buono, CPA (SEC Initial Decision as to Laurie Bebo)

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