Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)

As behemoth brokerage firms go zero-commission on trades, advisors are concerned (CNBC.com by Andrew Osterland)

Ex-Merrill broker-turned-RIA settles CE cheating allegations (On Wall Street by Kenneth Corbin)

SEC Dismisses Claims Against Tyler Peters (SEC Release)

Ohio Man Sentenced for Investment Fraud Scheme (DOJ Release)

SEC Division of Enforcement 2019 Annual Report (SEC Release)

In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog)

FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes / Firms Failed to Reasonably Supervise 529 Plan Share-Class Recommendations Made to Customers; Matters Identified Prior to FINRA Initiative Launched in January (FINRA Release)

Enters Judgment Against Promoter in Pump-And-Dump Scheme Ordering Him to Pay $1.7 Million (SEC Release)

President Of Purported Intergovernmental Organization Indicted For Cryptocurrency Scheme (DOJ Release)

SEC Charges Investment Adviser for Failing to Disclose Conflicts (SEC Release)

Rockland County Man Charged With Running Multimillion-Dollar Ponzi And Embezzlement Schemes / The Defendant is also Charged with Structuring Offenses (DOJ Release)

SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community (SEC Release)

Florida Firm Fined for Advising Texas Clients While Unregistered (TSSB Release)

2 Pleas, 2 Federal Courts,1 Horrific Ponzi Scheme, and Lots of Lousy Wall Street Regulation (BrokeAndBroker.com Blog)

$200 Cash Advance Earns Stockbroker a FINRA Bar. FINRA Department of Enforcement, Complainant, v. Michael Royce Minghenelli, Respondent (FINRA Office of Hearing Officers Default Decision)

Dunmore Man Charged With Bank Fraud (DOJ Release)

SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers  (SEC Release)

SEC Proposes Amendments to Modernize Shareholder Proposal Rule (SEC Release)

SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice (SEC Release)

Public Statement of SEC Chairman Jay Clayton on Proposals to Enhance the Accuracy, Transparency and Effectiveness of Our Proxy Voting System (SEC Release)

Public Statement on Proposals to Restrict Shareholder Voting by SEC Commissioner Robert J. Jackson (SEC Release)

Statement on Shareolder Rights by SEC Commissioner Allison Herren Lee (SEC Release)

Statement at the Open Meeting: Modernizing SEC Rules Governing Proxy Voting Advice by SEC Commissioner Elad L. Roisman (SEC Release)

Statement at the Open Meeting: Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 by SEC Commissioner Elad L. Roisman (SEC Release)

Merrill Lynch Hit with $3.75 Million in Defamation Damages in Employment Dispute. In the Matter of the Arbitration Between Jeffrey T. Rathmanner, Claimant, v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent (FINRA Arbitration Decision 18-03461)

SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)

SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Release)

CFTC Charges Companies and Associates with Failing to Register with the CFTC (CFTC Release)

Baton Rouge Man Pleads Guilty in Federal Court to Multi-Million Dollar Bank and Wire Fraud Schemes (DOJ Release)

FINRA Fines and Suspends Broker Who Copied and Pasted Customer's Signature 28 Times. In the Matter of Brendan James Flick, Respondent (FINRA AWC)

Supreme Court to Decide Whether Disgorgement is Penalty or Equitable Relief (BrokeAndBroker.com Blog)

Bitter Brew: Houston-Area Adviser Must Repay $366,218 to Coffee Shop Investors (TSSB Release)

SEC Obtains Multi-Million Dollar Final Judgment in Advance Fee Loan Scam Targeting Home Building Industry (SEC Release)