Securities Industry Commentator by Bill Singer Esq

May 5, 2022


To Err Is Human, To Forgive Is Not FINRA's Concern (BrokeAndBroker.com Blog)

Jury Finds Sarasota Man Guilty Of Running $80 Million "Oasis" Forex Ponzi Scheme (DOJ Release)

SEC Charges Nevada Resident with Offering Fraud (SEC Release)

Philadelphia Woman Sentenced to 109 Months in Prison for $100 Million Securities Fraud Scheme (DOJ Release)

Dearborn Resident Sentenced in Investment Fraud Scheme (DOJ Release)

FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000 (FINRA Release)

The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512 (FINRA Unscripted)

Former Bank Branch Manager Sentenced To Prison For Tech Support Fraud Scheme That Exploited The Elderly / Technical Support Scheme Deceived Victims Across the United States and Canada, Many of Whom are Elderly, into Paying for Phony Computer Repair Services (DOJ Release)

Santa Clarita Man Agrees to Plead Guilty to Securities Fraud for Bilking Investors Who Purchased Real Estate 'Coupon Bonds' (DOJ Release)

Saugus Woman Sentenced to 54 Months in Prison for Scheme to Defraud Elderly Uncle of Over $490,000 (DOJ Release)

Greenwich Resident Sentenced to 3 Years in Federal Prison for Defrauding Investors of Nearly $1.5 Million (DOJ Release)

Movie Producer Found Guilty in Film Financing Scheme (DOJ Release)

West Palm Beach Investment Fraudster Sentenced to 42 Months in Federal Prison After Losing Investor Millions in Wire Fraud Scheme (DOJ Release)

Idaho I.T. Professional Charged With Misappropriating Pre-Publication Investment Recommendations For Insider Trading Scheme / David Stone Electronically Accessed an Investment Advice Service's Unannounced Stock Picks and Used That Information to Generate Millions in Trading Profits and to Provide Inside Tips to Another (DOJ Release)

SEC Obtains Asset Freeze Against Idaho Residents in Trading Scheme (SEC Release)

The Curious Case of Donald Howard (BrokeAndBroker.com Blog)