Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead (BrokeAndBroker.com Blog)

9Cir Finds Federally Chartered Bank's Corporate Trust Department Not Under MSRB Jurisdiction for Purposes of FINRA Arbitration. BOKF, NA, Plaintiff/Counter-Defendant/Appellant, v. Robert Estes; Karen Niles; Jerry Carpenter; Shirley Carvey, James Carpenter, as Co-Trustee of the Carpenter Family Rev Trust UAD 1/19/14; Becky Lynn Carpenter, as Co-Trustee of the Carpenter Family Rev Trust UAD 1/19/14, Defendants/Counter-Claimants/Appellees (Opinion, 9Cir) 

Stockbroker Barred for Undisclosed Loans from Customers and Conversion. In the Matter of AXA Advisors, LLC., Respondent (FINRA AWC)

FINRA Arbitration Includes Admission of Non-Dischargability of Debt in Bankruptcy. In the Matter of the Arbitration Between Lesley Mooney IRA R/O FCC, Stephen W. Mooney, Lesley S. Mooney, and Stephen Mooney IRA R/O FCC, Claimants, v. Rhodes Securities, Inc., Christopher Paul Anthony, Jim Gordon Rhodes, J. Gordon Rhodes, and Marilyn Ruth Zehntner, Respondents (FINRA Arbitration Stipulated Award) 

Two Men Charged in Insurance Investment Fraud Scheme that Caused Hundreds of Millions in Victim Losses (DOJ Release)  

Webmaster Frequently Asked Questions (SEC.gov)

Order: Elderly Dallas Woman Victim in Widespread Precious Metals Fraud (TSSB Release)

GUEST BLOG: Acts of Code by Aegis Frumento Esq. (BrokeAndBroker.com Blog)

Serial Check Thief Sentenced to More That 4 Years in Prison for Bank Fraud and Identity Theft Offenses (DOJ Release)

Stockbroker Barred for Undisclosed Loans from Customers and Conversion. In the Matter of Anselmo Contreras Jr., Respondent (FINRA AWC)

FINRA Member Firm Principal Fined and Suspended Over Emails. In the Matter of Jamie Bennett, Respondent (FINRA AWC)

Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case (BrokeAndBroker.com Blog)

Arizona Man And Israeli Woman Charged In Connection With Providing Shadow Banking Services To Cryptocurrency Exchanges (DOJ Release)

Miami Man Admits to Laundering More than $1.5 Million in Proceeds from Business Email Compromise Schemes and to Selling Reptiles Without a License (DOJ Release)

Meadview Man Sentenced to Prison for Drug Sales, Theft of Government Property, and International Smuggling of Federally-Protected Cacti (DOJ Release)

Former CEO of Hospital Chain to Pay $3.46 Million to Resolve False Billing and Kickback Allegations (DOJ Release)

Morgan Stanley Liable For Over $400,000 in Mismanaged Portfolio Arbitration. In the Matter of the Arbitration Between Carpenter Law Firm Defined Benefit Plan, Claimant, and Morgan Stanley & Co., LLC and Michael Lee Carney, Respondents (FINRA Arbitration)

Beyond Hollywood: Money Laundering in the Securities Industry (FINRA Unscripted Podcast)

Two Costa Rican Residents Sentenced to Lengthy Prison Terms in Connection with $10 Million International Telemarketing Scheme (DOJ Release)   

Former Florida Property Manager Sentenced to More than 12 Years in Prison for Orchestrating an International Fraud Scheme (DOJ Release)

FINRA Bars Former Merrill Lynch and Wells Fargo Rep. FINRA Department of Enforcement, Complainant, vs Michael John Ahearn , Respondent (FINRA Order) 

SEC Announces Fraud Charges in Ticket Resale Investment Scam (SEC Release)

SEC Obtains Asset Freeze in Connection with Alleged Insider Trading (SEC Release)

FINRA Warns Of Imposter Brokerage Websites (BrokeAndBroker.com Blog)

Former District of Columbia Attorney Found Guilty of $2 Million Investment Fraud Scheme (DOJ Release)

In the Matter of Deutsche Bank Trust Company Americas, Respondent (SEC Order)

UPDATE: Banker's Affair With Customer's Husband Lands Safra In FINRA Arbitration

(BrokeAndBroker.com Blog)

SEC Charges San Diego-Based Investment Adviser with Running a Ponzi Scheme (SEC Release)

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 5110 (Corporate Financing Rule -Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes (SEC Release)

Founder of Local Technology Company Charged With Operating a $60 Million Investment Fraud (DOJ Release)

UPDATE: FINRA Sanctions Firm for 4 Years of Non-Compliant AML Testing. In the Matter of Gelband & Co., Respondent (FINRA AWC)