Testimony Before the House Committee on Financial Services of SEC Chair Gary Gensler / May 6, 2021

GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq (BrokeAndBroker.com Blog)

New York and Florida Resident Charged with $3.8 Million Paycheck Protection Program Fraud Scheme (DOJ Release)

Two Texas Women Sentenced to Federal Prison for Involvement in Transnational Elder Fraud Scheme (DOJ Release)

Fraudster Who Scammed More Than 100 Elderly Victims of More Than $775,000 Through Lottery Scheme Sentenced to Eight Years in Federal Prison / Falsely Told Victims They Won a Lottery or Sweepstakes, but Needed to Pay Taxes or Fees in Order to Receive the Prize (DOJ Release)

Owner Of Real Estate Crowdfunding Investment Company Pleads Guilty To Mail Fraud (DOJ Release)

In the Matter of Cantor Fitzgerald & Co., Respondent (FINRA AWC)

In the Matter of UnionBanc Investment Services, LLC, Respondent (FINRA AWC)

Former Raymond James Rep Wins One and Loses One in Employment Disputes (BrokeAndBroker.com Blog)

Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)

The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks (BrokeAndBroker.com Blog)

Former Raymond James Rep Wins One and Loses One in Employment Disputes (BrokeAndBroker.com Blog)

Charlotte Woman And Her Co-Conspirator Are Sentenced To Prison For Stealing $300,000 From An Elderly, Dementia-Afflicted Victim (DOJ Release)

Defendant in Scheme to Steal Digital Currency and Social Media Accounts Pleads Guilty and is Sentenced to Two Years in Federal Prison (DOJ Release)

Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)

The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks (BrokeAndBroker.com Blog)

Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)

Owner of Currency Exchange House Pleads Guilty to Intentionally Violating Anti-Money Laundering Laws (DOJ Release)

Financial Advisor Sentenced to More Than 13 Years in Prison for Swindling Investors Out of $5.1 Million (DOJ Release)

Fugitive Guatemalan Man Indicted for Wire Fraud (DOJ Release)

The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks (BrokeAndBroker.com Blog)

The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks (BrokeAndBroker.com Blog)

In the Matter of Mark J. Moskowitz (SEC Opinion)

Former CEO Of Live Well Financial Convicted In Connection With $200 Million Bond Fraud Scheme (DOJ Release)

Bedford Attorney Sentenced to 72 Months for Wire Fraud and Money Laundering Related to Theft of Client Funds (DOJ Release)

Fort Myers Woman Pleads Guilty To Financial Aid Fraud And Wire Fraud (DOJ Release)

Swampscott Financial Advisor Agrees to Plead Guilty in Theft of Former Client's Retirement Assets

Former Financial Advisor Sentenced to 78 Months in Prison for Role in $2 Million Ponzi Scheme Targeting Elderly Investors (DOJ Release)

Jury Convicts Former Virginia Beach Investment Advisor and Williamsburg Attorney of $25 Million Nationwide Investment Fraud (DOJ Release)