The Wells Fargo Manager's Wife's Signature on Mortgage Forms (BrokeAndBroker.com Blog)

Norman Man Pleads Guilty to Money Laundering as Part of a Nigerian Fraud Scheme (DOJ Release)

Convicted Felon Sentenced To Prison For Defrauding Victim Of Her Life Savings While On Pretrial Release For Another Fraud Scheme (DOJ Release)

SEC Obtains Final Judgment Against Defendants in Microcap Fraud Scheme (SEC Release)

Florida Man Pleads Guilty to Federal Mail Fraud Conspiracy Charge in Maryland for Scamming Elderly Victims of More Than $939,000 / Defrauded Elderly Victims of Almost $1 Million by Falsely Telling Them that a Relative-Typically a Grandchild-Needed Money for Bail, Legal Fees, and Other Expenses (DOJ Release)

Federal Court Orders Colorado Company and its Principal to Pay Over $900,000 for Digital Asset and Forex Ponzi Scheme (CFTC Release)

FINRA Bars Unregistered Administrative Assistant for Conversion of 41 Checks

In the Matter of Christine Ann Ringmeier, Respondent (FINRA AWC)

SEC Awards Over $28 Million to Whistleblower (SEC Release)

The Investment Banker, His Friend, the Friend's Holding Company, and the Two Deals (BrokeAndBroker.com Blog)

Two Virginia Men Convicted for Their Roles in Investment Fraud Scheme (DOJ Release)

Chairman Of Wealth Management Business Charged With Securities Fraud (DOJ Release)

SEC Charges Investment Adviser with Fraudulent Securities Offering (SEC Release)

Belgian and Lebanese National Charged in Superseding Indictment with Wire Fraud and Money Laundering / Defendant holds an Illinois attorney's license (DOJ Release)

Ponzi Scheme Operator Pleads Guilty to Securities Fraud (DOJ Release)

Two Men Indicted For Allegedly Operating Multimillion Dollar Sports Betting Pyramid Scheme In Las Vegas / Defendants Allegedly Defrauded More Than 600 Investors (DOJ Release)

Russian Cybercriminal Sentenced to Prison for Role in $100 Million Botnet Conspiracy (DOJ Release)

SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 (SEC Release)

FINRA Fines and Suspends Rep over Borrowing from Two Customers

In the Matter of Timothy Aaron Engelmann, Respondent (FINRA AWC)

SEC Harmonizes and Improves "Patchwork" Exempt Offering Framework / Rule amendments harmonize registration exemptions, eliminating complexity and facilitating access to capital and investment while preserving or enhancing important investor protections (SEC Release)

Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework; Benefits to Small and Medium-Sized Business and Their Investors by SEC Chairman Jay Clayton

Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets by SEC Commissioner Hester M. Peirce

Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets by SEC Commissioner Elad L. Roisman

Statement on Amendments to the Exempt Offering Framework by SEC Commissioner Allison Herren Lee

Statement on Harmonization of Securities Offering Exemptions by SEC Commissioner Crenshaw