An irreverent Wall Street Blog

Securities Industry Commentator by Bill Singer

September 4, 2020

http://www.brokeandbroker.com/5413/finra-covid-zoom/
As if things weren't bad enough among the FINRA broker-dealer community, now the self regulator wants to force respondents to participate in ZOOM teleconferenced regulatory hearings before its Office of Hearing Officers ("OHO") panels and its National Adjudicatory Council ("NAC").  

http://www.brokeandbroker.com/5411/michael-king-covid/
Recently, BrokeAndBroker.com publisher Bill Singer has been inundated with calls from industry associated persons worrying about the future of their firms, contemplating resignation, or troubled about potential post-employment litigation against them by their former employer. Bill raised some of the issues with veteran industry recruiter Michael King of Michael King Associates.

http://www.brokeandbroker.com/5391/edde-millennium-covid/
Recently, BrokeAndBroker.com publisher Bill Singer has been inundated with calls from industry associated persons worrying about the future of their firms, contemplating resignation, or troubled about potential post-employment litigation against them by their former employer. Bill raised some of the issues with prominent industry recruiter W. Ron Edde of Millennium Career Advisors.

http://www.brokeandbroker.com/5403/Robinhood-Daytrading/
Once again, we find ourselves hunkering down in a no-man's-land between regulators and the regulated -- as those who advocate an individual's right to take on risk in their personal trading decisions confront those who advocate a role for rational regulation to stem what they view as financial suicide. We should remember that with the explosion of daytrading in the 1990s, we experienced suicides and even murders as a result traders who lost everything. When we confront the 2020 tragedy of 20-year-old Robinhood daytrader Alex Kearns, we would be wise to recall the 1999 murder spree of daytrader Mark Barton. 



New York Hedge Fund Founder Arrested And Charged With Fraud, Extortion, And Obstruction Of Justice In Connection With Neiman Marcus Bankruptcy / Daniel Kamensky Allegedly Extorted a Rival Bidder to Abandon a Higher Bid and Engaged in Obstruction of Justice by Asking the Rival Bidder to Cover Up the Crime (DOJ Release)

SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy (SEC Release)

SEC Charges Investment Adviser with Fraud (SEC Release)

SEC Charges Unregistered Penny Stock Dealer (SEC Release)

SEC Charges IIIinois Resident for Unregistered Offerings (SEC Release)

Marina del Rey Man Agrees to Plead Guilty to Wire Fraud Charge that His Forex Trading Business Instead Was $3.3 Million Ponzi Scheme (DOJ Release)

SEC Charges Attorney with Assisting Fraudulent Microcap Scheme (SEC Release)

California Man Admits to Securities and Tax Offenses Related to $722 Million Bitclub Network Fraud Scheme (DOJ Release)

FINRA Imposes Fine, Suspension, and Continuing Ed Undertaking on Rep for Blank Account Forms and Mismarked Solicited Orders 
In the Matter of Kimberley Schkade-Hill, Respondent (FINRA AWC)

FINRA Imposes Fine and Suspension on Sales Assistant for Blank Account Forms 
In the Matter of Christina Jane Shepard, Respondent (FINRA AWC)

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