Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)

Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)

GOZNYM CYBER-CRIMINAL NETWORK OPERATING OUT OF EUROPE TARGETING AMERICAN ENTITIES DISMANTLED IN INTERATIONAL OPERATION / Network Formed by Individuals Who Advertised their Specialized Technical Skills and Services on Underground Russian-Language Online Criminal Forums (DOJ Release)

Alligators in Nirvana: Smart Regulation and the Future of Financial Services-Public Policy Conference (Speech by SEC Commissioner Hester M. Peirce )

Contract Allegedly Breached But FINRA Won't Say How Or Why It Wasn't. In the Matter of the Arbitration Between Jefferies LLC, Claimant, v. Brandon Wahl, Respondent (FINRA Arbitration Decision)

FINRA Arbitrators Offset Award to Wells Fargo. In the Matter of Wells Fargo Clearing Services, LLC, Claimant/Counter-Respondent, v. John Anthon Hand, III, Respondent/Counter-Claimant/Third-Party Claimant v. Wells Fargo Advisors, LLC, Third-Party Respondent (FINRA Arbitration DecisioN)

Nico Rutella, etc., Appellant, v. National Securities Corporation, et al., Respondents (Decision and Order, NYS Suptreme Court/Appellate Division)

Front Man Pleads Guilty to $550 Million Ponzi Scheme -- One of the Largest Ever Charged in 

Maryland / Kevin Merrill Also Admits to Obstructing Justice After his Arrest; SEC Has Related Civil Action (DOJ Release)

In the Matter of Wilson-Davis & Co. Inc., Respondent (SEC Order)

CFTC's Division of Market Oversight Issues Statement on the Certification of ICE Futures (CFTC Release)

FINRA Enforcement Loses Dramatic NAC Appeal. In the Matter of FINRA Department of Enforcement, Complainant, v. Austin Wayne Morton, Respondent (FINRA NAC Decision) 

GUEST BLOG:  . . . and I Feel Fine by Aegis Frumento Esq (BrokeAndBroker.com Blog)

SEC Freezes Assets of Online Auction Portal and Its CEO Associated with $23 Million Offering Fraud (SEC Release)

Jury Rules in SEC's Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud (SEC Release)

Clarence Investment Advisor Sentenced For Bilking Clients Out Of Hundreds Of Thousands Of Dollars (DOJ Release)

In the Matter of David F. Bandimere and John O. Young (SEC ALJ Order) 

SEC Enforcement Activity: Public Companies and Subsidiaries

FINRA Launches Initiative to Simplify Firms' Digital Experience with FINRA, Facilitating More Efficient and Effective Compliance Programs / Digital Experience Transformation Invites Firms to "Help Us Design the Future" of Compliance Reporting and Management (FINRA News Release)

Former Morgan Stanley Branch Manager Wins Expungement of Failure to Supervise Claims (BrokeAndBroker.com Blog)

Prominent Industry Lawyer Martin P. Unger, Esq. Sends Letter to FINRA CEO Cook Seeking Revision of FINRA Policy On Associated Persons' BrokerCheck Disclosures (Letter from Wexler Burkhart Hirschberg & Unger LLP to FINRA / May 14, 2019) 

Beyond Hollywood, Part II: AML Priorities and Best Practices (FINRA Unscripted Podcast)

Owner Of High-End Wine Storage Facility Pleads Guilty In Federal Court To Embezzling From His Customers / Over Nearly 5 Years, Holder Stole Between $550,000 and $1.5 Million Worth of Customers' Wine (DOJ Release)

U.S. Executive Sentenced to Prison for Role in Conspiracy to Violate Foreign Corrupt Practices Act (DOJ Release)

Essex County Man Admits Role in $2 Million Fraudulent Check Scheme Targeting Home-Improvement Stores (DOJ Release)

Michigan Man Pleads Guilty To Running Apple "Empty-Box" Fraud Scheme (DOJ Release)

Apple, Inc., Petitioner, v. Robert Pepper, et al.(Opinion, United States Supreme Court)

866 Trades In 15 Leveraged ETFs For 47 Customers Ends With 1 Bar (BrokeAndBroker.com Blog)

San Fernando Valley Con Man Pleads Guilty in Multi-Million Dollar Real Estate Fraud Scheme that Targeted Vulnerable Homeowners (DOJ Release)

FINRA Member Firm Sanctioned for Conditioning Customer Settlements on Expungements. In the Matter of Oriental Financial Services Corp, Respondent (FINRA AWC)

In the Matter of the Application of Long Term Stock Exchange, Inc.for Registration as a National Securities Exchange (Findings, Opinion, and Order of the SEC)

FINRA Arbitrators Slam JP Morgan Over Defamatory Termination (BrokeAndBroker.com Blog)

Three Palm Beach County Men Charged with $3.6 Million Investment Fraud Scheme (DOJ Release)

Florida Man Pleads Guilty To Securities Fraud (DOJ Release)

Former South Florida Attorney Sentenced to Prison in Relation to Pump and Dump Securities Fraud Scheme (DOJ Release)

In the Matter of Laurie Bebo and John Buono, CPA (SEC Order)

Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements (SEC Release)

"Reasonableness Pants" (Speech by SEC Commissioner Hester M. Peirce, Rutgers Law School)