SEC Obtains Final Judgment Against Kirk Sperry and Sperry and Sons Capital Investments, LLC in Offering Fraud (SEC Release)

Former CEO Of Real Estate Private Equity Investment Firm Sentenced To 5 Years In Prison For $58 Million Securities Fraud (DOJ Release)

Texas Man Sentenced to 12 Years in Prison for Defrauding Business Opportunity Buyers of More Than $5 Million (DOJ Release)

Two Iranian Nationals Indicted in Local Cryptojacking Case (DOJ Release)

Former Chief Financial Officer and Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Arrested for Insider Trading (DOJ Release)

SEC Charges Pharma CFO and Former Partner with Insider Trading (SEC Release)

SEC Charges Latvian Citizen With Digital Asset Fraud (SEC Release)

SEC Charges Two in Fraudulent Microcap Scheme (SEC Release)

Holding Foreign Companies Accountable Act Disclosure (SEC Release)

Remarks before the Investor Advisory Committee by SEC Chair Gary Gensler

Remarks before the Investor Advisory Committee by SEC Commissioner Hester M. Peirce

The European-Style Consolatory Cheek Kiss, the UBS Lawsuit, and the Certified Question (BrokeAndBroker.com Blog)

Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering? (BrokeAndBroker.com Blog)

Did You Hear About The FINRA Arbitration Against Fidelity For Dental Pain and Suffering? (BrokeAndBroker.com Blog)

SEC Charges Swiss Trader in Two International Insider Trading Schemes (SEC Release)

Cryptocurrency Trader Pleads Guilty (DOJ Release)

CEO of Purported Global Biomedical Company Charged With Stealing Over $1 Million Of Victim's Money Through False Promises Of Investment Opportunities (DOJ Release)

International Hacking Group Members Sentenced for SIM Hijacking Conspiracy That Resulted in the Theft of Millions in Cryptocurrency (DOJ Release)

Individual Who Portrayed Himself as Experienced Stock Trader Pleads Guilty to Defrauding Investor / Defendant Solicited Investments, Then Stole the Money for Himself (DOJ Release)

In the Robert Anthony Guidicipietro, Respondent (FINRA AWC)

In the Matter of Ian E. James, Respondent (FINRA AWC)

In the Matter of Pasquale James Rappa, Respondent (FINRA AWC)

Cryptocurrency Trader Pleads Guilty (DOJ Release)

CEO of Purported Global Biomedical Company Charged With Stealing Over $1 Million Of Victim's Money Through False Promises Of Investment Opportunities (DOJ Release)

International Hacking Group Members Sentenced for SIM Hijacking Conspiracy That Resulted in the Theft of Millions in Cryptocurrency (DOJ Release)

Individual Who Portrayed Himself as Experienced Stock Trader Pleads Guilty to Defrauding Investor / Defendant Solicited Investments, Then Stole the Money for Himself (DOJ Release)

Former South Bay Executive Sentenced to Nearly Three Years in Federal Prison for Insider Trading and Securities Fraud (DOJ Release)

Federal Court Orders California Forex Firm and Its Owners to Pay Over $4 Million for Pool Fraud and Registration Violations (CFTC Release)

SEC Staff Issues Accounting Guidance on "Spring-Loaded" Compensation Awards to Executives (SEC Release)

In the Matter of Traderfield Securities, Inc. and Mario Divita, Respondents (FINRA AWC)

Federal Court Orders California Forex Firm and Its Owners to Pay Over $4 Million for Pool Fraud and Registration Violations (CFTC Release)

SEC Staff Issues Accounting Guidance on "Spring-Loaded" Compensation Awards to Executives (SEC Release)

In the Matter of Traderfield Securities, Inc. and Mario Divita, Respondents (FINRA AWC)