Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award (BrokeAndBroker.com Blog)

Three Men Guilty in Scheme to Defraud Elderly and Vulnerable Victims of More Than $5 Million (DOJ Release)

Senior Investors / FINRA Adopts Amendments to FINRA Rule 2165 / Effective Date: March 17, 2022 (FINRA Regulatory Notice 22-05 / February 15, 2022)

Former CFO of Boston Grand Prix Sentenced to Four Years in Prison for Fraud and Tax Schemes that Netted Almost $2 Million / Defendant used fraudulently obtained pandemic grant funds to pay for three-carat diamond ring, online dating membership, private school tuition and luxury hotel stays (DOJ Release)

Final Defendant Sentenced for Mexican Timeshare Resale Fraud Scheme (DOJ Release)

Statement on Public Dissemination of Security-Based Swap Transactions by SEC Chair Gary Gensler (SEC Release)

In the Matter of the Arbitration Between Joseph Reilly, Brian Wolf, Vijay Ande, Stephen Cameron, David Freshwater, Murray Grigg, Mark Vacirca, Steven Rothstein, Antonia Hieronymus, and Daniel Hassett, Claimants, v. Joseph Gunnar & Co., LLC, Joseph Anthony Alagna, Jr., and Stephan A. Stein, Respondents (FINRA Arbitration Award)

FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement (BrokeAndBroker.com Blog)

Customer Lawsuit Puts Robinhood In The News Again (BrokeAndBroker.com Blog)

SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl (BrokeAndBroker.com Blog)

SEC Director Calls Awkward Football Audible During Wall Street Gamification Bowl (BrokeAndBroker.com Blog)

BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product / Company also agrees to attempt to bring its business into compliance with the Investment Company Act of 1940 within 60 days (SEC Release)

Statement on Settlement with BlockFi Lending LLC by SEC Commissioner Hester M. Peirce

Disbarred Attorney Pleads Guilty To $5 Million Cryptocurrency Fraud (DOJ Release)

Suffolk Man Sentenced for Real Estate Investment Scheme (DOJ Release)

South Florida Man Sentenced to 7 Years in Federal Prison for Multi-Million Dollar Investment Scam Targeting the Elderly, and Spending Investor Money on Gambling, Jewelry, and Luxury Vehicles (DOJ Release)

SEC Settles Charges Against Silicon Valley Insider Trading Ring (SEC Release)

SEC Obtains Summary Judgment Against California Investment Adviser Charged with Stealing from Advisory Clients (SEC Release)

SEC Obtains Final Judgment Against Seyed Taher Kameli for Defrauding EB-5 Investors (SEC Release)

SEC Charges Shari'ah-Focused Online Investment Service with Misleading Clients (SEC Release)

Investment Club Treasurer Going To Prison For Two Years For Embezzling Hundreds Of Thousands Of Dollars (DOJ Release)