Courts Tell Divorced Stockbroker to Try A Little Bit Harder (BrokeAndBroker.com Blog)

Final Defendant Pleads Guilty to $550 Million Ponzi Scheme-One of the Largest Ever Charged in Maryland / Jay Ledford Created False Documents to Conceal the Fraud; SEC Has Related Civil Action (DOJ Release)

SEC Charges Issuer with Conducting $100 Million Unregistered ICO (SEC Release)

FINRA Arbitrators Cite Improper Submission of Claim in Dismissing Customer's Case. In the Matter of the Arbitration Between Tom K. Nomeland, Claimant, v. Theodore Allocca, William Michael Quigley, Robert Paul Solow, and Trident Partners Ltd., Respondents (FINRA Arbitration  Decision)

Stockbroker Fined and Suspended for UIT Sales. In the Matter of Ron Ray Willoughby, Jr., Respondent (FINRA AWC)

SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals (SEC Press Release)

Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser (Release No.: IA-5249)

Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Release No.: IA-5248; File No. S7-07-18)

Form CRS Relationship Summary; Amendments to Form ADV 

Regulation Best Interest: The Broker-Dealer Standard of Conduct (Release No.: 34-86031; File No. S7-07-18)

Statement at the Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to our Main Street Investors by SEC Chair Clayton

Statement on Final Rules Governing Investment Advice by SEC Commissioner Robert J. Jackson Jr.

Statement at the Open Meeting on Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary, and the Interpretation of "Solely Incidental" by SEC Commissioner Elad L. Roisman

Statement Regarding the SEC's Rulemaking Package for Investment Advisers and Broker-Dealers by SEC Investor Advocate Rick Fleming

GUEST BLOG: Being Evil by Aegis Frumento, Esq (BrokeAndBroker.com Blog)

SEC Charges Perpetrators of Prime Bank Investment Scheme for Defrauding Investors (SEC Release)

SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant (DOJ Release)

CEO Of Public Commodities Trading Company Charged In $66 Million Accounting Fraud Scheme

Defendant Allegedly Inflated Company's Revenue to Defraud Investors (DOJ Release)

SEC Files Fourth Subpoena Enforcement in Possible Market Manipulation Scheme (SEC Release)

Wells Fargo Found Guilty of Defaming Stockbroker for Storing Customer Property

(BrokeAndBroker.com Blog)

SEC Denies Modification of Bars Imposed Via Settlement. In the Matter of Gregory Osborn (SEC Order)

South Florida Resident Sentenced to More than Eighteen Years in Prison for Impersonating a Member of the Saudi Royal Family in Order to Swindle Millions from Investors / The Impersonation Scheme Involved Wire Fraud, Fake Diplomatic License Plates, Expensive Jewelry, Artwork, Luxury Automobiles, Yachts, Private Jets, and International Trips (DOJ Release)

Florida Man Pleads Guilty In Telemarketing Scam (DOJ Release)

Stockbroker Barred for Undisclosed Loans from Customers and Conversion. In the Matter of David John Strnad, Respondent (FINRA AWC)

SEC Obtains Final Judgment Against Radio Host Charged in Ticket Resale Investment Scheme (SEC Release)