GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq (BrokeAndBroker.com Blog)

FINRA OHO and NAC Reiterate That Contemporaneous Cost Is Appropriate Indicator of Prevailing Market Price In Bond Mark-Up Case. In the Matter of the FINRA Department of Enforcement, Complainant, v. J. W. Korth & Company, Respondent 

Middletown, New Jersey, Investment Manager and Former Fire Chief Sentenced to 15 Years in Prison for Running Ponzi Scheme to Steal More Than $10 Million (DOJ Release)

SEC Obtains Final Judgment Against Howard M. Appel in Stock Manipulation Scheme (DOJ Release)

SEC Charges Unregistered Broker Who Sold Woodbridge Securities to Retail Investors (SEC Release)

Sunsets, Russets, and Rule Resets (Speech by SEC Commissioner Hester Peirce; CARE Conference)

Something's Happening With A Discrimination Case But You Don't Know What It Is, Do You Mr. Jones? (BrokeAndBroker.com Blog)

Third Individual Charged in Insider Trading Case Linked to Former NFL Player and Investment Bank Analyst (DOJ Release)

Consolidated Audit Trail / FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019 (FINRA Regulatory Notice 19-19)

Justice Department Seeks to Intervene in Private Class Action to Enforce Prohibition on Unlawful "No-Poach" Agreements / Settlement Prohibits Duke University from Maintaining or Entering into Unlawful Agreements not to Compete for Employees (DOJ Release)

In the Matter of Paul B. Powers, Esq., Respondent (SEC Order)

SEC Charges Four Individuals in a Microcap Fraud (SEC Release)

SEC Files Subpoena Enforcement Against Individual for Failing to Produce Documents and Appear for Testimony (SEC Release)

Ex-Credit Union Manager Pleads Guilty to Bank Fraud in $40 Million Embezzlement that Rendered Institution Insolvent (DOJ Release)

Ex-Mirae Bank Executive Sentenced to More than 5 Years in Prison for Loan Fraud that Caused Large Losses to the Bank (DOJ Release)       

Member Firm Refuses to Produce Settlement Agreement in FINRA Expungement Arbitration (BrokeAndBroker.com Blog)

SEC's "Kaplow Order" Docket of FINRA Arbitration Appeals Grows Larger. In the Matter of the Application of Timothy Charles Sullivan for Review of Action Taken by FINRA (SEC Order Denying Motion to Dismiss and Consolidating Appeal) - and - 

SEC Charges Five Individuals with Running a Pump-and-Dump Scheme (SEC Release)

One Convicted And Two Sentenced As Part Of U.S. Attorney's Elder Justice Initiative (DOJ Release)

Semiconductor Engineer Arrested on Charges that He Netted Large Profits in Illegal Insider Trades of His Employer's Stock (DOJ Release)