Two Canadian Nationals Indicted for Bitcoin Fraud (DOJ Release)

The FINRA Dissident Community: A History (BrokeAndBroker.com Blog)

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

SEC Charges Mississippi Company and its Principal with Fraud in Timber Ponzi Scheme (SEC Release)

LPL Rep Fined and Suspended by FINRA for Sales of Nutritional Supplements. In the Matter of Justin B. Mitchell, Respondent (FINRA AWC 2016052655301)

Serial Fraudster Pleads Guilty To Scamming Elderly Victims Out Of Hundreds Of Thousands Of Dollars In Fraudulent Payment Scheme / Michael Pizarro Had Previously Been Convicted of a Similar Offense and Continued to Perpetrate the Scheme even after his Arrest (DOJ Release)

Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA's Values (FINRA UNscripted)

FINRA Puts Lime Brokerage in the Self-Regulatory Coconut (BrokeAndBroker.com Blog)

Rambling Narrative of Random Events. Regina Morro, Plaintiff, v.SEC Finra International Investors, Defendant (Opinion, DCDC)

Precious Metals Trader Pleads Guilty to Conspiracy and Spoofing Charges (DOJ Release)

SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets (SEC Release)

SEC Charges TherapeuticsMD With Regulation FD Violations (SEC Release)

Founder of Mantria Corp. Sentenced to 22 Years For Operating $54 Million Ponzi Scheme (DOJ Release)

SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme (SEC Release)

FINRA Arbitrators Award UBS Wealth Management Team Member $750,000 Against Former Team Members. In the Matter of the Arbitration Between Mark Gilbert, Claimant, vs. Eileen Berman and Brian Lowenthal, Respondents (FINRA Arbitration Decision 18-02681)

Two from Akron sentenced to prison for using more than $38,000 in counterfeit $100 bills to buy iPads, Apple watches and other items at stores such as Target, Best Buy and Dick's Sporting Goods (DOJ Release)

Jury Returns Conviction in On-Line Dating Fraud Conspiracy (DOJ Release)

Delaware Businessman Sentenced to Federal Prison In Multi-Million Dollar Ponzi Scheme (DOJ Release)

SEC Charges Head Sales Agent in South Florida Alternative Investments Scheme (SEC Release)

FINRA Fines and Suspends Rep Who Impersonated Customers in Calls to Mutual Fund. In the Matter of John Hunter Tillotson, Respondent (FINRA AWC) 

FINRA Fines and Suspends UBS Rep Over Variable Annuities Exchanges. In the Matter of David Rookasin, Respondent (FINRA AWC) 

Toledo man indicted for allegedly trying to launder drug profits at casino (DOJ Release)

Municipal Advisors Guidance Regarding Member Firms' Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients (FINRA Regulatory Notice)

Reps File FINRA Arbitration Against Former Employer Over Failed Transition

(BrokeAndBroker.com Blog)

Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs (SEC Release)

SEC Charges Investment Banking Analyst with Insider Trading (SEC Release)

SEC Obtains Final Judgment Against Securities Attorney in Market Manipulation Scheme (SEC Release)

SEC Obtains Final Judgment Against Former Stock Promoter (SEC Release)

Sientra's Former CEO Settles Charges Related to $60 Million Stock Offering (SEC Release)