SEC Awards Over $10 Million to Whistleblower (SEC Release)

Court Denies Jury Trial to Plaintiff Brummer in Defamation Case

CFTC's Enforcement Division Issues Staff Guidance on Recognition of Self-Reporting, Cooperation, and Remediation

FINRA Turns 300 Orally Authorized Trades Into 300 Trades Of Unauthorized Discretion (BrokeAndBroker.com Blog)

Permanent Bar Proves Less Than Permanent As SEC Approves Return to Industry (BrokeAndBroker.com Blog)

Two Admit to Using Casinos to Facilitate Financial Crime (DOJ Release)

This start-up promised higher interest rates on savings. Now some customers are struggling to get their money back (CNBC by Lorie Konish, Scott Cohn, and Dawn Giel)

Feds accuse Visa consultant of stonewalling on documents as legal wrangling heats up in antitrust investigation into Visa acquisition of Plaid / Visa paid Bain & Co. for insights on competitive position and pricing. The DOJ says it has a right to documents as part of its antitrust investigation (RIABiz by Oisin Breen)

In the Matter of William T. Burke, Respondent (FINRA AWC)

In the Matter of Andrew J. LeBlanc II, Respondent (FINRA AWC)

In the Matter of National Securities Corporation, Respondent (FINRA AWC)

SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies (SEC Release)

Modernizing the Regulatory Framework for Funds' Use of Derivatives (Statement by SEC Chair Clayton)

Opening Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies (SEC Commissioner Hester Peirce)

Statement on Regulation of Funds' Use of Derivatives (SEC Commissioner Elad L. Roisman)

Statement on the Final Rule on Fund's Use of Derivatives (SEC Commissioner Allison Herren Lee)

Statement on Funds' Use of Derivatives (SEC Commissioner Caroline A. Crenshaw)

California Court of Appeal Holds Its Ground After Rehearing Tilkey v. Allstate (BrokeAndBroker.com Blog)

FINRA Member Firm Prevails in Rare Indemnification Arbitration Against Former Employee

In the Matter of the Arbitration Between Capital Financial Services, Inc., Claimant, v. Steven Roland Knuttila, Respondent (FINRA Arbitration Award)v

SEC Charges Seven Individuals with Unregistered Brokerage Activity Related to the Sale of Numerous Microcap Securities (SEC Release)

Irvine Man Charged in Investment Scheme that Took In Millions with False Promises of Solar Panels Enhanced with Nanotechnology (DOJ Release)

Self-Styled Diamond And Gold Exporter Sentenced To Nine Years In Prison For Wire Fraud And Commodities Fraud / Dual U.S./Swiss Citizen Convicted of Fraudulently Soliciting Millions In Investment Scheme To Purportedly Export Diamonds and Gold From Africa (DOJ Release)

Rep Fined and Suspended by FINRA for Private Securities Transactions

In the Matter of David Allen Walters, Respondent (FINRA AWC)

DC Circuit Court Sustains SEC Orders Against Thaddeus North (BrokeAndBroker.com Blog)

Charles Schwab to lay off 1,000 workers following merger with TD Ameritrade (CNBC Release by Maggie Fitzgerald)

Holistic Wellness Business Founder Charged In Ponzi Scheme / Founder Claimed He had Cured Himself of Cancer and Awarded $2 Million from Vanderbilt for Research (DOJ Release)

Man Sentenced to Nearly 3 Years in Federal Prison for Role in Lottery Scam that Defrauded Elderly Victims out of Almost $200,000 (DOJ Release)

Orange County Man Sentenced to Nearly 4 Years in Federal Prison for Short-Term Loan Investment Scam that Cost Victims over $3 Million (DOJ Release)

SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions (SEC Release)

Statement Regarding Tradenet Capital Markets Ltd by SEC Commissioner Hester M. Peirce

SEC Obtains Final Judgment Against Participant in Market Manipulation Scheme (SEC Release)

In the Matter of Norman Stanley Batansky, Respondent (FINRA AWC)

In the Matter of Cynthia Diane Cowden, Respondent (FINRA AWC)

JP Morgan Securities Whiffs In FINRA Arbitration Against Raymond James and Three Former Employees (BrokeAndBroker.com Blog)