Vanguard shifting prime money market fund to safer U.S.-backed investments (CNBC by Darla Mercado)

RIA Reads: The ESG paradox and the advisor who allegedly loved Hawaii (CityWire RIA by Alex Rosenberg)

Ghanaian National Is Sentenced To Prison For His Role In Financial Scams Targeting Older Victims / The Defendant Was Caught at Charlotte Airport with more than $130,000 in Cash Proceeds from Romance and Precious Metals Scams (DOJ Release)

United States Files Complaint to Forfeit 280 Cryptocurrency Accounts Tied to Hacks of Two Exchanges by North Korean Actors (DOJ Release)

California Mother And Son Arrested For Operating A $5 Million Mortgage Modification Fraud (DOJ Release)

SEC Charges Former Broker with Fraud (SEC Release)

Rep Suspended by FINRA for Role in Introducing a Customer To Another Customer In Need of a Business Loan

In the Matter of Jesse T. Kovacs, Respondent (FINRA AWC)

The Boogie Woogie Crypto Man of Company C (BrokeAndBroker.com Blog)

Markets, Morality, and Mobsters: Remarks at the 18th Annual Corporate Governance Conference (Speech by SEC Commissioner Hester Peirce)

SEC Evaluates Possibility of Granting Relief During Catastrophic Hurricane Laura (BrokeAndBroker.com Blog)

SEC Halts Fraudulent Offering by Florida Investment Adviser (SEC Release)

SEC Charges BorgWarner for Materially Misstating its Financial Statements (SEC Release)

SEC Modernizes the Accredited Investor Definition (SEC Release)

Statement on Modernization of the Accredited Investor Definition (SEC Chair Jay Clayton)

Joint Statement on the Failure to Modernize the Accredited Investor Definition (SEC Commissioners Allison Herren Lee and Caroline Crenshaw)

Statement on Amendments to the Accredited Investor Definition: An Important Step Forward (Commissioner Elad L. Roisman)

Statement on Amending the "Accredited Investor" Definition (SEC Commissioner Hester M. Peirce)

SEC Adopts Rule Amendments to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K (SEC Release)

Modernizing the Framework for Business, Legal Proceedings and Risk Factor Disclosures (SEC Chair Jay Clayton)

Regulation S-K and ESG Disclosures: An Unsustainable Silence (SEC Commissioner Allison Herren Lee)

Statement on the "Modernization" of Regulation S-K Items 101, 103, and 105 (SEC Commissioner Caroline Crenshaw)

Statement at Open Meeting on Modernization of Regulation S-K 101, 103, and 105 (SEC Commissioner Hester M. Peirce)

Opening Remarks at the Open Commission Meeting to Adopt Amendments to Items 101, 103, and 105 of Regulation S-K (SEC Commissioner Elad L. Roisman)

GUEST BLOG: Bill Singer Talks To Industry Recruiter Ron Edde of Millennium Career Advisors (BrokeAndBroker.com Blog)

JPMorgan will have staff cycle between office and remote work in a move that may remake Wall Street (CNBC by Hugh Son)

Minority entrepreneurs at a tipping point as Black-owned banks dwindle in the U.S. (CNBC by Cameron Costa)

Boom or bust? Welcome to the freewheeling world of crypto lending (Reuters by Tom Wilson)

Acting Manhattan U.S. Attorney Announces Securities And Wire Fraud Charges Against Founder And Former CEO Of Pharmaceutical Company (DOJ Release)

SEC Charges California Investment Adviser with Fraud for Stealing More Than $2.2 Million from Retail Investors (SEC Release)

SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations (SEC Release)

SEC Obtains Partial Judgments Against Three Defendants in Unauthorized Trading Scheme (SEC Release)

SEC Charges Former Brokers with IIIegally Selling Securities (SEC Release)

SEC Obtains Summary Judgment Against Municipal Bond "Flippers" (SEC Release)

Federal Court Tells Interactive Brokers to Comply With FINRA Panel's $1M Ruling: Right or Wrong (FINOPS Report by Chris Kentouris)

Philadelphia Tax Preparer Sentenced to Five Years for Fraud (DOJ Release)

Owners Of South Bay Businesses Sentenced To Prison For Investment Fraud Conspiracy And Related Crimes / Jennifer Yang and Daniel Wu also ordered to pay over $5.9 million in restitution for their respective roles in immigration-related fraud scheme (DOJ Release)

Wells Fargo Customers Seek Damages from High Risk, Poor Performing Investments

In the Matter of the Arbitration Between George Wildrick, Claimant, v. Wells Fargo Clearing Services, LLC and Robert Ted Lyons, Respondents (FINRA Arbitration Award 18-03398)

Pro Se Public Customer Alleges FINRA Arbitrators' Misconduct in Schwab Case (BrokeAndBroker.com Blog)

Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case (BrokeAndBroker.com Blog)

SEC Proposes Data Security Enhancements to the CAT NMS Plan (SEC Release)

Update on the Consolidated Audit Trail: Data Security and Implementation Progress (SEC Release)

Statement on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security (SEC Commissioner Peirce)

In the Matter of Christopher T. Hildebrandt, Respondent (FINRA AWC)

In the Matter of Joseph P. Woitkoski, Respondent (FINRA AWC)