SEC Sanctions Guggenheim Securities For Anti-Whistleblower Confidentiality Agreement (BrokeAndBroker.com Blog)
Joseph Meli Sentenced To 37 Months In Prison For Participating In Broadway Ticket Resale Investment Fraud Scheme (DOJ Release)
U.S. Attorney Announces Extradition And Guilty Plea Of Israeli Securities Trader For Participating In A Global Insider Trading Ring / Insider Trading Charges Are Also Unsealed Against a Second Israeli Trader for Participating in the Same Multimillion-Dollar Scheme (DOJ Release)
SEC Charges Private Fund Manager, Consumer Credit Company, and Three Individuals with Fraudulently Raising Over $73 Million from Investors (SEC Release)
SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme (SEC Release)
FINRA Censures and Fines Merrill Lynch Over UIT Supervision
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Unsuitable UIT Short-Term Trading
In the Matter of Kelly Wayne Feehrer, Respondent (FINRA AWC)
FINRA Censures and Fines Sidoti & Company, LLC Over Research Reports
In the Matter of Sidoti & Company, LLC, Respondent (FINRA AWC)
