Asheville Man Is Indicted For $13.5 Million Ponzi Scheme / The Defendant Allegedly Defrauded More Than 23 Victims, Including Some at, or Near, Retirement Age (DOJ Release)

SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities (SEC Release)

The SEC Empire Strikes Back After Reinjuring Its Groin On Planet Daspin (BrokeAndBroker.com Blog)

Commissioner Acts to Stop Two Cryptocurrency Offerings As Second Regulatory Sweep Concludes (TSSB Release)

Digital Advertising Business Owner And Operator Arrested For Defrauding Investors Of Over $5 Million (DOJ Release)

Former Chief Operating Officer of Davis Bio-Pesticide Company Pleads Guilty to Conspiracy to Commit Mail, Wire, and Securities Fraud (DOJ Release)

SEC Obtains Final Judgment Against Former Executive Charged with Lying to Auditors (SEC Release)

Jury Convicts Businessman of $1.4 Million Fraud Conspiracy (DOJ Release)

Organizer Of Complex Nigerian Fraud And Money Laundering Ring Sentenced (DOJ Release)

SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme (SEC Release)

[In]Securities Guest Blog: Make It So by Aegis Frumento, Esq (BrokeAndBroker.com Blog)

FINRA Publishes 2019 Report on Examination Findings and Observations (FINRA Report)

Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case (SEC Release)

Allegations involving 401k plan expunged from Raymond James' Rep's Record. In the Matter of the Arbitration Between Jeremy Dean Lott, Claimant, v. Raymond James Financial Services, Inc., Respondent (FINRA Arbitration Decision)

Las Vegas Man Sentenced To 8 Years In Prison For Committing Nearly $2 Million Business Fraud Scheme (DOJ Release)

Former New Silk Route Advisors' CCO/CFO Files Whistleblower Retaliation Complaint. Rishi K. Gupta, Plaintiff, v. New Silk Route Advisors, L.P. et al. (Complaint, SDNY) 

Austin Investment Adviser Revoked for Fraud (TSSB Release)

SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering (SEC Release)

SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud (SEC Release)

Georgia Man Pleads Guilty to Operating Ponzi Scheme on University of Georgia's Campus (DOJ Release)

The Wall Street Simulacrum of Regulation (Now Online and in Video Format (BrokeAndBroker.com Blog)

SEC Charges Man with Fraud, Unregistered Brokerage Activity, and Unregistered Offering (SEC Report)

Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities Involving Digital Assets (Public Statement)