An irreverent Wall Street Blog

Securities Industry Commentator by Bill Singer Esq

October 1, 2020

Some BrokeAndBroker.com Blog readers have inquired as to what's happened to the BrokeAndBroker.com Blog in recent days. No -- we have not discontinued Broke And Broker; however, there has been such a crush of legal, regulatory, and compliance news that we can't keep up with all the developments. As such, we've imposed double-duty upon our companion online publication, the "Securities Industry Commentator." When things return to normal, your beloved Broke And Broker Blog will return. 


Convicted Burglar Exposed - Texas and Washington Stop Criminal Promoting Fraudulent Cryptocurrency Software Scam (TSSB Release)

Four Alleged Stock Defrauders from Georgia, New York and Texas Indicted for "Pump and Dump" Scheme Involving Three Public Companies (DOJ Release)

SEC Charges Four Individuals in a Fraudulent Manipulation and Kickback Scheme (SEC Release)

Northampton County Man Charged with Defrauding Family and Friends Out of Over $1 Million by Selling Them Worthless Stock / The defendant allegedly swindled more than 50 victims, including former fraternity brothers (DOJ Release)

SEC Charges Pennsylvania Man with Decade-Long Fraud (SEC Release)

SEC Files Charges in Microcap Stock Schemes (SEC Release)

Acton Investment Advisor Pleads Guilty to Stealing More than $3.7 Million of Clients' Funds (DOJ Release)

SEC Charges Purported Hedge Fund Manager with Fraud (SEC Release)

SEC Charges Orchestrator of Cryptocurrency Offering Fraud (SEC Release)

SEC Charges Unregistered Broker with Selling Securities in Ponzi Scheme (SEC Release)

Commission Charges South Carolina Resident in Pump-And-Dump Scheme (SEC Release)

SEC Charges Louisiana Man with Defrauding Investors in Foreign Currency Trading Scheme (SEC Release)

SEC Charges Texas-Based Company and Founders with Defrauding Dozens of Investors (SEC Release)

Morgan Stanley Agrees to Pay $5 Million for Reg SHO Violations in Prime Brokerage Swaps Business (SEC Release)

SEC Charges HP Inc. With Disclosure Violations and Control Failures (SEC Release)

SEC Charges Hospitality Company for Failing to Disclose Executive Perks (SEC Release)

SEC Awards Almost $30 Million to Two Insider Whistleblowers (SEC Release)

SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards (SEC Release)

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