SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer / Defendants, including persons barred from the brokerage industry, allegedly sold shares they didn't own, and pocketed more than $75 million (SEC Release)
January 2021 Short Squeeze Trading Litigation (Order, United States District Court for the Southern District of Florida, 21-MD-02989 / May 13, 2022)
Man Pleads Guilty to Multimillion Dollar Tax Fraud Scheme Involving Professional Athletes and PPP Loan Fraud (DOJ Release)
CEO Of Private Equity Fund Sentenced To 97 Months For $133 Million Bank And Securities Fraud Scheme (DOJ Release)
Maryland Man Sentenced to 37 Months in Prison for Stealing Over $120,000 From Bank Customer Accounts / Bank Detected Fraud Before Even More Money Was Stolen (DOJ Release)
CEO Of Cryptocurrency And Forex Trading Platform Charged With Fraudulent Scheme Involving Over $59 Million (DOJ Release)
CFTC Charges Long Island Resident and His Firm in Ongoing $59 Million Fraud Scheme (CFTC Release)
CFTC Settles Enforcement Action Against Kraft and Mondelēz (CFTC Release)
FINRA Censures and Fines Firm for Belated Private Placement Filings
In the Matter of Spire Securities, LLC, Respondent (FINRA AWC)
FINRA Censures and Fines Firm for OBA, PST, and FinCEN Issues
In the Matter of Roselaine Securities LLC, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Two OBAs
In the Matter of Patrick Richard Daley, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Excessive Trading
In the Matter of Ian P. Lowrey, Respondent (FINRA AWC)
