SEC Charges Additional Four Unregistered Brokers Who Sold $24 Million in 1 Global Securities to Retail Investors (SEC Release)

Birmingham Business Pleads Guilty to Wire Fraud (DOJ Release)

Acton Investment Advisor Sentenced for Stealing More Than $3.7 Million of Clients' Funds (DOJ Release)

Securities Commissioner Stops Another Online Forex and Cryptocurrency Scam (TSSB Release)

FINRA Fines and Suspends Rep for PST

In the Matter of Tonya Nicole Smoake, Respondent (FINRA AWC)

FINRA Fines and Suspends Associated Person Four Unauthorized Study Materials

In the Matter of Carlos Sosa, Respondent (FINRA AWC)

Every Vote Counts: The Importance of Fund Voting and Disclosure (SEC Speech by Acting Chair Lee)

CFTC Acting Chairman Behnam Establishes New Climate Risk Unit / Interdivisional Group Will Focus on Derivatives Markets' Role in Addressing Climate-Related Risk and Transitioning to Low-Carbon Economy (CFTC Release)

FINRA Charges Operations Professional $5,000 for Sushi (BrokeAndBroker.com Blog)

The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)

FINRA Charges Operations Professional $5,000 for Sushi (BrokeAndBroker.com Blog)

Six Charged with Crimes Related to Virtual Currency Exchange Business (DOJ Release)

Former Chief Investment Officer Admits Bank Fraud Relating To $91.5 Million Commercial Loan (DOJ Release)

Former Bank Teller Sentenced to Fifteen Months in Jail for Stealing from Wells Fargo Bank Customers (DOJ Release)

SEC Awards Approximately $1.5 Million to Whistleblower (SEC Release)

Paper, Plastic, Peer-to-Peer / Remarks at the British Blockchain Association's Conference "Success Through Synergy: Next generation Leadership for Extraordinary Times" (SEC Commissioner Hester M. Peirce)

The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)

SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets (SEC Release)

Apex Serial Fraudster Sent Back to Federal Prison for Investment Scam Involving Impersonation of Mayor, Professor, and Government Agency (DOJ Release)

Arizona Man Sentenced for Multimillion-Dollar Nationwide Investment Fraud Scheme (DOJ Release)

Commissioner Issues Two Orders Stopping Three Online Investment Scams (TSSB Release)

A Climate for Change: Meeting Investor Demand for Climate and ESG Information at the SEC (Speech by Acting SEC Chair Allison Herren Lee)

Public Input Welcomed on Climate Change Disclosures (Statement by Acting SEC Chair Allison Herren Lee)

In the Michael Keith Napier, Respondent (FINRA AWC)

In the Matter of Robert Riviere, Respondent (FINRA AWC)

In the Matter of Jeffrey D. Stanga, Respondent (FINRA AWC)

Law Firm Seeks Litigation Associate (Warren Law Group)