2021 Industry Snapshot (FINRA Report)

SEC Charges Real Estate Investment Entity and Principals with Securities Fraud and Registration Violations (SEC Release)

Court Enters Judgments Against Owners and Operators of Three Overseas Binary Option Brokers That Targeted U.S. Investors (SEC Release)

Justice Department Requires Divestitures in Huntington Bancshares Incorporated's Acquisition of TCF Financial Corporation / Thirteen Branches in Michigan will be Divested - Ensuring Bank Customers Have Access to Competitively Priced Products and Services (DOJ Release)

Tampa Man Sentenced To Prison For Manufacturing Counterfeit Federal Reserve Notes While On Federal Supervised Release (DOJ Release)

Farmington Woman Admits Stealing $103K from Bank Customer (DOJ Release)

Two Cargo Handlers at LAX Arrested in Alleged Theft of Gold Bars (DOJ Release)

Whistleblower Gets Screwed But FINRA Doesn't Care (BrokeAndBroker.com)

Fort Dodge Woman Sentenced to Federal Prison for Defrauding Elderly Disabled Veteran Out of Life Savings / Stole over $120,000 from Nursing Home Resident in 2018 and 2019 (DOJ Release)

Texas Man Pleads Guilty to Conspiring to Commit Wire Fraud (DOJ Release)

Chattanooga Man Charged with Defrauding Investor in Covid-19-Related PPE Scheme (DOJ Release)

Living in a Material World: Myths and Misconceptions about "Materiality" (Speech by SEC Commissioner Allison Herren Lee)

In the Matter of Wolverine Execution Services, LLC , Respondent (FINRA AWC)

Whistleblower Gets Screwed But FINRA Doesn't Care (BrokeAndBroker.com Blog)

Whistleblower Gets Screwed But FINRA Doesn't Care (BrokeAndBroker.com Blog)

In the Matter of the Application of Michael Andrew DeMaria for Review of Action Taken by FINRA (SEC Order)

California Resident Sentenced to 121 Months in Prison for Facilitating Telemarketing Conspiracy that Defrauded Thousands of Vulnerable U.S. Consumers (DOJ Release)

Second Man Sentenced to Prison in Traveling Bank Fraud (DOJ Release)

Maryland Man Pleads Guilty to Financial Scams Using Online Dating Sites (DOJ Release)

Worcester Man Charged With Attempting to Fraudulently Purchase $83,000 Sports Car (DOJ Release)

SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers (SEC Release)

In the Matter of Carl George Antaki, Respondent (FINRA AWC)