GUEST BLOG: Advisor Perspectives - An Interview with Recently Transitioned Advisors by Michael King of Michael King Associates (BrokeAndBroker.com Blog)
$11M father-daughter decades-long Ponzi scheme ends with guilty pleas for the whole family (Financial Planning by Justin L. Mack)
Former UBS Financial Advisor Pleads Guilty to Defrauding over $5 Million Dollars from His UBS Clients (DOJ Release)
SEC Charges Eight Participants in Cross-Border Penny Stock Fraud Scheme (SEC Release)
SEC Obtains Final Judgment Against CEO of E-Commerce Startup Who Defrauded Investors (SEC Release)
SEC Obtains Final Judgment Against Former Company Controller Charged with Insider Trading (SEC Release)
SEC Charges Florida Recidivists with Fraud and Registration Violations (SEC Release)
CFTC Charges Tennessee Trader and Two Entities with Engaging in Cross-Market and Single-Market Spoofing and Manipulative Schemes (CFTC Release)
FINRA Fines and Suspends Rep Over Joint Production Codes
In the Matter of Steven Kent Romjue, Respondent (FINRA AWC)
"Working On 'Team Cyber' " - Remarks Before the Joint Meeting of the Financial and Banking Information Infrastructure Committee (FBIIC) and the Financial Services Sector Coordinating Council (FSSCC) by SEC Chair Gary Gensler
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab (BrokeAndBroker.com Blog)
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog)
Former Morgan Stanley Rep Should Count His FINRA Settlement Blessings (BrokeAndBroker.com Blog)
