FINRA Ordered to Produce Public Relations Firm's Communications in Brummer Defamation Case. Christopher Brummer, Plaintiff, v. Benjamin Wey, FNL Media LLC, and NYG Capital LLC d/b/a New York Global Group, Defendants (Decision and Order, NYS Supreme Court)

[In]Securities Guest Blog: Rolled Up and Smoked by Aegis Frumento Esq (BrokeAndBroker.com Blog)

Court Grants CBOE Motion to Dismiss. In Re: Chicago Board Options Exchange Volatility Index Manipulation Antitrust Litigation (Opinion/Order)

Former Partner Of Manhattan Accounting Firm Sentenced For Two Fraud Schemes (DOJ Release)

Hackers are ramping up attacks on retirement accounts - how to keep yourself safe (Marketwatch.com by Alessandra Mailto)

Quebec Resident Pleads Guilty in Multi-Million Dollar Telemarketing Scheme / Defendant agrees to restitution of a least $1.4 million (DOJ Release)

The Widow, Her Stockbroker, and Her Loans and Gifts to Him (BrokeAndBroker.com Blog)

SEC Charges Wisconsin Broker with Defrauding Retail Investors (SEC Release)

Court Enters Judgment That Significantly Modifies and Extends Consent Decree With Live Nation/Ticketmaster  / Amended Final Judgment Extends by Five and a Half Years the 2010 Live Nation/Ticketmaster Final Judgment; Live Nation to Pay Costs and Fees to American Taxpayers for Enforcement (DOJ Release)

The Department of Justice Files Actions to Stop Telecom Carriers Who Facilitated Hundreds of Millions of Fraudulent Robocalls to American Consumers / First of its Kind Enforcement Action by the Justice Department (DOJ Release)

FINRA Arbitrator Dismisses Compensation Claims After Critiquing Motion to Dismiss. In the Matter of the Arbitration Between Robert Michael Weldon v. Nuveen Securities, LLC (FINRA Arbitration Decision)

SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund (SEC Release)

SEC Denies Stay of FINRA Expulsion Over Annual Audit Report (BrokeAndBroker.com Blog)

Florida Criminal Defendant to Serve Additional Prison Time for Lying on Pre-Sentencing Financial Disclosure Form / Concealed Assets, Including a Boat, Mercedes, and Cash (DOJ Release)

Former Rochester Man Charged In Multi-Million Dollar Ponzi Scheme (DOJ Release)

Wisconsin Accountant Found Guilty of Conspiracy to Obtain Over $260 Million in Small Business Contracts / Mark F. Spindler, a certified public accountant, was found guilty of conspiring with Brian L. Ganos in a scheme to use front companies to obtain set-aside contracts intended for small businesses led by service-disabled veterans and disadvantaged individuals (DOJ Release)

Rocky Mount Woman Indicted on Wire Fraud and Related Charges for Financial Aid Fraud Scheme (DOJ Release)

SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices (SEC Release)

SEC Publishes Annual Reports on Credit Rating Agencies (SEC Release)

Two Men Sentenced to Prison for Their Roles in an Investment Fraud Scheme Targeting Elderly Victims (DOJ Release)

Top Executives Plead Guilty to Participating in a Billion Dollar Ponzi Scheme-the Biggest Criminal Fraud Scheme in the History of the Eastern District of California (DOJ Release)

SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme (SEC Release)

FINRA Imposes Fine, Restitution, and Suspension for Rep's Alleged Excessive Trading in Customer's Account. In the Matter of Robert F. Spiegel, Respondent FINRA AWC)

FINRA Arbitrator Says It's Too Late To Turn Back Now (BrokeAndBroker.com Blog)