Securities Industry Commentator by Bill Singer Esq

August 30, 2021


SEC Obtains Judgment Against California Trader Charged with Posting False Stock Tweets (SEC Release)

SEC Charges Mississippi Company and Its Principal in Multi-Million Dollar Ponzi Scheme (SEC Release)

South Florida Lawyer Charged with Fraud Related to 1 Global Capital Investment Scheme (DOJ Release)

SEC Charges South Florida Lawyer with Securities Fraud (SEC Release)

Two South Florida Lawyers and Former Chief Operating Officer Sentenced for Roles in Massive 1 Global Capital Investment Scheme (DOJ Release)

Judge sentences Tennessee man to 27 months for wire fraud in investment fraud scheme (DOJ Release)

Federal Court Orders Ohio Resident and Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with the CFTC (CFTC Release) a>

Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice (SEC Release)

Statement on Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches by SEC Chair Gary Gensler (SEC Release)

SEC Orders $1.2 Million Award to Whistleblower But Denies Related Action Award
Order Determining Whistleblower Award Claim 

SEC Orders Over $1 Million In Awards to Three Whistleblowers
Order Determining Whistleblower Award Claim

SEC Orders Award Of Over $350,000 to Whistleblower
Order Determining Whistleblower Award Claim

SEC Orders 30% Award to Whistleblower 
Order Determining Whistleblower Award Claim

FINRA Fines and Suspends Rep for Outside Brokerage Account and Untimely Responses
In the Matter of Julio Cesar Lage, Respondent (FINRA AWC)