Finders Keepers Losers Weepers Ends With FINRA Bar (BrokeAndBroker.com Blog)

Wall Street clearing firm proposes 1-day trade settlement after Robinhood controversy (CNBC by Maggie Fitzgerald)

Vero Beach Man Sentenced To 15 Years In Federal Prison For More Than $40 Million In Fraud (DOJ Release)

Court Imposes Fraud Injunction and Penny Stock Bar On Individual and Orders Judgments of Over $14 Million Against Entities That Facilitated International Microcap Scheme (DOJ Release)

Final Defendant Sentenced in $7 Billion Investment Fraud Scheme (DOJ Release)

Former COO Of Publicly Traded Biopharmaceutical Company Sentenced For Accounting Fraud (DOJ Release)

CEO of Medifirst Solutions, Inc. Arrested for Securities Fraud / Defendant Allegedly Received Kickbacks from a Corrupt Broker and Concealed the Role of Paid Promoters from Investors (DOJ Release)

SEC Charges Issuer, Its President, and a Stock Promoter for Microcap Offering Fraud (SEC Release)

SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks (SEC Release)

Statement on the Review of Climate-Related Disclosure by Acting SEC Chair Allison Lee

Attorney General James Ends Virtual Currency Trading Platform Bitfinex's Illegal Activities in New York / Bitfinex and Tether Must Submit to Mandatory Reporting on Efforts to Stop New York Trading / Bitfinex and Tether Deceived Clients and Market by Overstating Reserves, Hiding Approximately $850 Million in Losses Around the Globe (NYAG Release)

Founder of International Cryptocurrency Companies Indicted in Multi-Million Dollar Securities Fraud Scheme (DOJ Release)

One of the Nation's Largest Chicken Producers Pleads Guilty to Price Fixing and is Sentenced to a $107 Million Criminal Fine / First Corporation Pleads Guilty in Ongoing Criminal Antitrust Investigation into the Broiler Chicken Industry (DOJ Release)

SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College (SEC Release)

Former CEO Of Publicly Traded Biopharmeutical Company Sentenced For Accounting Fraud (DOJ Release)

CEO of Medifirst Solutions, Inc. Arrested for Securities Fraud / Defendant Allegedly Received Kickbacks from a Corrupt Broker and Concealed the Role of Paid Promoters from Investors (DOJ Release)

Federal Court Sanctions Former New Jersey Energy Broker for Role in Disclosures of Material Nonpublic Information (CFTC Release)

SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ (SEC Release)

Atomic Trading (Speech by SEC Commissioner Hester M. Peirce)

Behind the Process: How an  Enforcement Action Becomes an Enforcement Action (FINRA Unscripted)

Morgan Stanley, RBC team tangle over $600M of client assets and advisor prenup (Financial Planning by Andrew Welsch)

Rowing on the SEC's Whistleblower River of Denial (BrokeAndBroker.com Blog)

Fraudster Sentenced to Five Years in Prison for $2 Million Ponzi Scheme (DOJ Release)

Orlando Man Sentenced To More Than Four Years For Multi-Million Dollar Investment Fraud Scheme (DOJ Release)

Ghanian Fraudster Sentenced to Nine Years in Federal Prison for a $1.4 Million Bank and Wire Fraud Conspiracy and a Conspiracy to Transport Stolen Vehicles to Africa / Defendant, Who Was a Fugitive for Almost Three Years, Was Also Ordered to Pay Nearly $700,000 in Restitution (DOJ Release)

College Student Convicted for Role in International Fraud Conspiracy (DOJ Release)

Securities and Exchange Commission Obtains Final Judgment Against Connecticut Investment Adviser Who Misappropriated Funds from Clients (SEC Release)