OCC Issues Notice of Charges Against Five Former Senior Wells Fargo Bank Executives, Announces Settlement With Others (OCC Release)

Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor? (BrokeAndBroker.com Blog)

Founder Of Meridian Capital Asset Management Sentenced To Two Years In Prison For Stealing Over $1 Million Of Investor Funds (DOJ Release)

FINRA Imposes Fine and Suspension for Rep's Forgery of Estranged Wife's Signature on Line of Credit Application. In the Matter of Thomas J. Crossett, Respondent (FINRA AWC)

Over $63 Million to Be Returned to Investors in Alleged Real Estate Investment Fraud (SEC Release)

Russian National Pleads Guilty to Running Online Criminal Marketplace (DOJ Release)

Index Fund Giants Draw Antitrust Scrutiny in U.S. Mergers (Bloomberg.com)

Go Ask Alice -- I mean, seriously, ask Alice and NOT (as in NEVER!) ask Allison; trust me, if you ask Allison, wonder awaits, along with some blunt instruments! Former Cruise Line Call Center Rep Pleads Guilty to Threatening Customer (DOJ Release)

Venezuelan Man Sentenced for Aggravated Identity Theft and Access Device Fraud (DOJ Release)

[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq (BrokeAndBroker.com Blog)

SEC Awards Whistleblowers Whose Information Helped Stop Fraud (SEC Release)

Montgomery County Man Pleads Guilty to Bank Fraud & Aggravated Identity Theft (DOJ Release)

FINRA Imposes Fine and Principal Bar For Failure to Reasonably Supervise. In the Matter of Michael Leahy, Respondent (FINRA AWC)

Florida man pleads guilty to wire fraud for scheme to defraud investors with claims of successful commodities trading / Solicited more than $1 million in investments - used more than $280,000 for own expenses (DOJ Release)

SEC Charges Founder of Purported Blockchain Marketplace for Fraudulent ICO (SEC Release)

SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company (SEC Release)

Asheville Man Pleads Guilty To Securities Fraud And Money Laundering For $22 Million Ponzi Scheme / The Defendant Admitted to Defrauding more than 23 Victims, Including some at, or near, Retirement Age (DOJ Release)

CFTC Orders Australian Company to Pay $1 Million for Spoofing (CFTC Release)

Prudential Wins Dismissal of Tortious Interference Claim (BrokeAndBroker.com Blog)

FINRA Fines and Suspends Operations Manager for Falsely Affixing Signature Stamps. FINRA Department of Enforcement, Complainant, vs Shawna Choate, Respondent (Order Accepting Offer of Settlement, FINRA Office of Hearing Officers)

California man who falsely claimed ties to Moroccan Royal Family pleads guilty to $10 million dollar advance fee fraud scheme (DOJ Release)

Chicago Investment Manager Indicted on Fraud Charges for Allegedly Swindling Money From Women He Met Online (DOJ Release)

Two People Indicted For $30 Million Dollar Fraud Scheme Involving Blockchain Technology Company (DOJ Release)

SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity (SEC Release)

What exactly to make of the Barron's article about Orion being listed for sale by Raymond James for $1.8 billion -- and how it boils down to 'when', not if (RIABiz.com by Oisin Breen)

SEC Charges Construction Management Consulting Company and Former Employees with Accounting Fraud (SEC Release)

SEC Charges Operator of Substance Abuse Center with Securities Fraud (SEC Release)

Former Congressman Christopher Collins Sentenced For Insider Trading Scheme And Lying To Federal Law Enforcement Agents (DOJ Release)

In the Matter of the Application of TMR Bayhead Securities, LLC For Review of Disciplinary Action Taken by FINRA (Opinion, SEC, '34 Act Release 88006; Admin. Proc. File No. 3-18869)

FINRA Promotes Jessica Hopper to Head of Enforcement (FINRA Release)