Staten Island Man Sentenced to 33 Months' Imprisonment for Defrauding Investors in Virtual Currency Investors' Losses Total More Than $224,000 (DOJ Release)

Casino Cheaters Caught / Dealer and Player Conspired to Cheat two Maryland Casinos out of More Than $1 Million (FBI Release)

FINRA Settles Case Involving What Looks Like A Felony But Isn't (BrokeAndBroker.com Blog)

SEC Charges Eight Unregistered Brokers for Their Participation in Fraudulent Offerings of Microcap Securities (SEC Release)

SEC Charges Individual with Acting as an Unregistered Broker (SEC Release)

Mortgage Fraud Broker Sentenced For His Role In Mortgage Fraud Conspiracy (DOJ Release)

FINRA Imposes $400,000 Fine On Royal Alliance Over Theft of Customers' Funds by Two Reps. In the Matter of Royal Alliance Associates, Inc., Respondent (FINRA AWC)

Supreme Court vacates Second Circuit judgment and remands for reconsideration of whether ERISA imposes a duty on an ESOP fiduciary to act on inside information. Retirement Plans Committee of IBM, et al., Petitioners, v. Larry W. Jander, et al. (Opinion, United States Supreme Court)

FINRA Imposes $1 Million Fine On Prudential Investment Management Services For Retirement Plans' Supervisory Issues. In the Matter of Prudential Investment Management Services LLC, Respondent (FINRA AWC)

FINRA Fines Citigroup Global Markets Inc. For Reg SHO Supervisory Failures. In the Matter of Citigroup Global Markets Inc, Respondent (FINRA AWC)

SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme (SEC Release)

SEC Obtains Final Judgments Against Remaining Defendants in Fraudulent Stock Promotion Scheme (SEC Release)

SEC Obtains Judgments Against Two Attorneys in Fraudulent Scheme to Issue False Legal Opinions (SEC Release)

Advisor's $2.2M recruiting deal dissolved into $1.8M arbitration loss (plus interest) (On Wall Street by Andrew Welsch)

The End of the Bonus Culture Is Coming to Wall Street (Bloomberg.com)

JPMorgan Puts Senior Credit Trader on Leave Over WhatsApp Use (Bloomberg.com)

CFTC Orders South Korean Company to Pay $700,000 for Spoofing (CFTC Release)

Ameriprise Didn't Know When To Fold In Terminally Ill Customer Case (BrokeAndBroker.com Blog)

SEC Obtains Judgment Against Former CEO in Insider Trading Case (SEC Release)

Founder of Swiss Brokerage Firm Pleads Guilty in Connection with Global Securities Fraud Scheme (DOJ Release)

Orlando Man Sentenced To 10 Years In Federal Prison For Orchestrating Multi-Million Dollar Investment Fraud Scheme (DOJ Release)

Court Orders Technology Fund Adviser to Pay More Than $31 Million (SEC Release)

CFTC Charges US Coin Bullion LLC and its Owners with $7.9 Million Precious Metals Fraud (CFTC Release)

FINRA Arbitrators Cite Untimely RICO Claims By Former Merrill Lynch Executive (BrokeAndBroker.com Blog)

Stock Promoter Pleads Guilty to Accepting Kickbacks from CEO of Public Company (DOJ Release)

Belgian National Sentenced for Scam Targeting Charities and Law Firms (DOJ Release)