Standard Chartered Bank Admits to Illegally Processing Transactions in Violation of Iranian Sanctions and Agrees to Pay More Than $1 Billion / Iranian National Indicted and Former SCB Employee Pleaded Guilty for Criminal Conspiracy to Violate Iranian Sanctions (DOJ Release)

SEC Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities (SEC Release)

Federal Indictments & Law Enforcement Actions in One of the Largest Health Care Fraud Schemes Involving Telemedicine and Durable Medical Equipment Marketing Executives Results in Charges Against 24 Individuals Responsible for Over $1.2 Billion in Losses / Hundreds of Thousands of Elderly and/or Disabled Patients Nationwide and Abroad Lured into Criminal Scheme; Center for Program Integrity, Center for Medicare Services, Takes Administrative Action Against 130 DME Companies That Submitted Over $1.7 Billion (DOJ Release)

Billion-Dollar Medicare Fraud Bust / FBI Announces Results of Operation Brace Yourself (FBI Release)

Court Suspends Former NYSE Arbitration Counsel and FINRA Arbitrator 

(BrokeAndBroker.com Blog)

SECret Garden: Remarks at SEC Speaks (Speech at SEC Speaks 2019 by SEC Commissioner Hester Peirce)

"Investor Alert: Robo-Advisoers" (Texas State Securities Board)

Florida Executive Sentenced To 20 Years In Prison For Orchestrating $150 Million International Ponzi Scheme (DOJ Release)

SEC Charges Former SeaWorld Associate General Counsel With Insider Trading (SEC Release)

The Pizza Connection: Painstaking Work Leads to Landmark 1980s Heroin Bust / Thirty-five years ago, in early April 1984, the FBI closed in on a real-life Mafia godfather (FBI Release)

Supplemental Petition for Rulemaking Regarding Digital Asset Mining by Templum Markets, LLC (SEC Public Petition)

FINRA Notice To Members 19-10 Should Have Said What It Meant (BrokeAndBroker.com Blog)

Financial Industry Regulatory Authority Department of Enforcement, Complainant, v. Glendale Securities, Inc. George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein, Jose Miguel Abadin, and Huanwei Huang, Respondents. (FINRA Office Of Hearing Officers Extended Hearing Panel Decision)

Radio Talk Show Host Craig Carton Sentenced To 42 Months In Prison For Securities And Wire Fraud (DOJ Release)

Final Judgment and Bars Investment Adviser for Defrauding Clients (SEC Release)

Florida Man Sentenced For $2 Million Insider Trading Scheme Based On Confidential Information Misappropriated From An Investment Bank (DOJ Release)