Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory (BrokeAndBroker.com Blog)

Co-Founder Of Investment Fund Pleads Guilty To Conspiracy, Securities Fraud, Wire Fraud, And Investment Adviser Fraud Charges / Jason Rhodes Pleads Guilty to Participating in Multimillion-Dollar Fraud Scheme (DOJ Release)

Founder And President Of Online Gaming Company Pleads Guilty To Securities And Wire Fraud (DOJ Release)

Two Defendants Posing as Booking Agents for Famous Entertainers Arrested for Fraudulent Scheme / Allegedly Claimed They Could Book Justin Timberlake and Bruno Mars To Perform at a Concert Benefitting the Sandy Hook Promise Foundation (DOJ Release)

Former Long Island Investment Advisor Sentenced to 170 Months in Prison for Multi-Million Dollar Securities Fraud and Ponzi Scheme / Defendant Defrauded Dozens of Elderly Investors of Over $13 Million (DOJ Release)

Rockland County Man Pleads Guilty To Defrauding Investors (DOJ Release)

FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter (FINRA Release)

FINRA  Fines and Suspends Former Morgan Stanley Rep Over Private Securities Transactions. In the Matter of James R Willing, Respondent (FINRA AWC 2018057629501)

SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities (SEC Release)

Cause something is happening and you don't know what it is. Do you, FINRA? (BrokeAndBroker.com Blog)

Camdenton Man Pleads Guilty to Romance Fraud Scheme on the Day of Trial (DOJ Release)

SEC Obtains Fraud Judgment Against Former Investment Adviser (SEC Release)

Federal Court Troubled By FINRA Arbitration Chair's Non-Disclosure of Conflict (BrokeAndBroker.com Blog)

FINRA  Fines TD Ameritrade Over "Professional Customer" Coding For Option Orders. In the Matter of TD Ameritrade, Inc., Respondent (FINRA AWC)

FINRA Fines and Suspends Rep Over Allowing Unregistered Rep to Use His Code and In Mis-use of Currency Transactions Reports ("CTRs"). In the Matter of Bruno H. Silva, Respondent (FINRA AWC)

SEC Charges South Florida Businessman with Facilitating Brother-In-Law's Misappropriation of Millions from Investors (SEC Release)

Computer Programmer Sentenced In Cyberattack Threat Case (DOJ Release)

The Crap That Winds Up In My Inbox: FRESH CUT BG/SBLC

Former UVA Football Player Sentenced for $10 Million Fraud (DOJ Release)

Longfin CEO Settles Fraud Action (SEC Release)

UPDATE: Court Confirms UBS Promissory Notes Arbitration Citing Delays And Doctor's Note (BrokeAndBroker.com Blog)

Antitrust suit against Schwab and TD Ameritrade merger draws 'stunt' accusations and judge agrees (RIABiz.com by Oisin Breen)