Former Senior FinCEN Employee Sentenced To Six Months In Prison For Unlawfully Disclosing Suspicious Activity Reports / Natalie Mayflower Sours Edwards Repeatedly Transmitted SARs and Other Sensitive Government Information to A Reporter (DOJ Release)
Swindler Sentenced to Federal Prison for $6.8M Securities Fraud Scheme (DOJ Release)
Federal Court Orders Florida Man to Pay More than $500,000 for Attempting to Fraudulently Profit From COVID-19 / CFTC Wins Its First Enforcement Action Targeting Misconduct Directly Tied to COVID-19 (CFTC Release)
SEC Discovers New Geographic Area!!! Never Never Land Is New Hotbed of Fraud!!!!
Order Determining Whistleblower Award Claim (2021-58)
Order Determining Whistleblower Award Claim (2021-57)
Order Determining Whistleblower Award Claim (2021-56)
Order Determining Whistleblower Award Claim (2021-55)
Putting the Electric Cart before the Horse:[1] Addressing Inevitable Costs of a New ESG Disclosure Regime (Speech by SEC Commissioner Elad L. Roisman)
SR-FINRA-2021-015 / Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) (FINRA Release)
Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC (BrokeAndBroker.com Blog)
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. Hendrickson Esq (BrokeAndBroker.com Blog)
Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions About Supervision (BrokeAndBroker.com Blog)
