Fictitious CIA Mission With Bogus Red Cross and Delta Force Influences Became An IRS and Investor Fraud (BrokeAndBroker.com Blog)

Are Finra Arbitrators Qualified to Decide Industry, Customer Cases? / The Financial Industry Regulatory Authority's arbitrator selection process is designed to allow for flexibility in who gets to hear the cases (Financial Advisor IQ by Josh Azar)

Florida Man Indicted For Wire Fraud, Bank Fraud, Money Laundering, And Aggravated Identity Theft (DOJ Release)

Federal Court Orders Florida Men to Pay Over $1.6 Million for Precious Metals Fraud (CFTC Release)

City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest / Harmed Investors to Receive Amounts Recovered (SEC Release)

SEC Charges Investment Adviser with Failing to Disclose Conflicts Arising from Mutual Fund and Account Recommendations (SEC Release)

FINRA Fines and Suspends Rep In Tequila Fraud

In the Matter of Michael Mandel, Respondent (FINRA AWC)

No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)

Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA (BrokeAndBroker.com Blog)

Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)

No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)

Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA Arbitration

In the Matter of the Arbitration Between Aaron Olson, Claimant, v. Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)

SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)

SEC Charges Investment Adviser with Failing to Disclose Conflicts Arising from Mutual Fund and Account Recommendations (SEC Release)

United Kingdom Citizens Indicted in Brooklyn Federal Court for Multi-Million Dollar Loan Scheme / The Defendants Allegedly Caused Investors to Invest over $99 Million in Sham Loans Purportedly Collateralized by Valuable Bottles of Wine (DOJ Release)

Man Indicted for Frac Sand Ponzi Scheme (DOJ Release)

Three Defendants Sentenced For Illegal Bitcoin Business (DOJ Release)

New York Man Sentenced To 12 Years' Imprisonment For $1.3 Million Fraud Scheme (DOJ Release)

Frequently Asked Questions Regarding FINRA Rules Relating to Financial Exploitation of Senior Investors (FINRA FAQ)

In the Matter of Michael Mandel, Respondent (FINRA AWC)

In the Matter of Jayanth Hebbar, Respondent (FINRA AWC)

Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA (BrokeAndBroker.com Blog)

Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)

Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)

Founder of Fraudulent Cryptocurrency Charged in $2 Billion BitConnect Ponzi Scheme (DOJ Release)

SEC Charges Delaware-Based Investment Adviser and Its Principal with Conducting a Fraudulent "Cherry-Picking" Scheme (SEC Release)

U.S. Imposes Sanctions on Russian Entities and Individuals / FINRA Alerts Firms to Sanctions (FINRA Regulatory Notice)