Joint Statement Regarding Ongoing Market Volatility by Acting Chair Allison Herren Lee; Pete Driscoll, Director, Division of Examinations; and Christian Sabella, Acting Director, Division of Trading and Markets (SEC Release / January 27, 2021)

SEC Charges New Jersey Insurance Agent with Defrauding Investors (SEC Release)

Marketing Company Agrees to Pay $150 Million for Facilitating Elder Fraud Schemes / Victims of Schemes to Receive $127.5 Million (DOJ Release)

Investment Fraudster Sentenced / Adviser Who Claimed to Invest in Fracking Defrauded Unsuspecting Family (FBI Release)

SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud (SEC Release)

Something's Coming From FINRA But I Don't Know What It Is (BrokeAndBroker.com Blog)

A Modern Tale of Cybercriminals, Fake ID, and a FINRA Arbitration (BrokeAndBroker.com Blog)

FINRA Appoints Scott W. Anderson as Head of Market Regulation and Transparency Services (FINRA Release) . . . What's Up With This ????

Something's Coming From FINRA But I Don't Know What It Is (BrokeAndBroker.com Blog)

New York Life Insurance Broker Admits Securities Fraud Scheme (DOJ Release)

Cryptocurrency Trader Charged In Manhattan Federal Court With Fraudulent Scheme Involving Over $5 Million (DOJ Release)

CFTC Charges New York Man in Multi-Million Dollar Digital Asset Ponzi Scheme Involving Bitcoin and Ether (CFTC Release)

FINRA Imposes Fine and Suspension for Short-Term, High Yield Contract Communications

In the Matter of Michael August Pellegrino, Respondent (FINRA AWC)