FINRA Arbitration Combines Circular Logic With a Nested Loop and a Mobius Strip in Wage Dispute (BrokeAndBroker.com Blog)
Uber Commits To Changes And Pays Millions To Resolve Justice Department Lawsuit For Overcharging People With Disabilities (DOJ Release)
Oyster Bay Residents Charged with $27 Million Investment Fraud Scheme and Selling Foreign Nationals Access to Prominent U.S. Politicians / Defendants Attended 2017 Campaign Fundraiser with Foreign Donors and Took Photographs with Then-President of The United States (DOJ Release)
Serial Identity Theft Scammer Sentenced to Six Years in Federal Prison for Bank Fraud / The Defendant Caused a Loss of more than $59,000 While on Pretrial Release for Initial Identity Theft and Bank Fraud Conviction (DOJ Release)
Keller Man Sentenced to 14 Years in Prison and Ordered to Pay $14M in Restitution for Ponzi Scheme (DOJ Release)
Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It Provided Misleading Account Statements to Investors / Accounts belonged to public school teachers and staff investing for retirement (SEC Release)
SEC Obtains Final Judgment Against Individual in ICO Promotion Scheme; Files Notice of Death as to John McAfee, Resulting in Dismissal of Claims (SEC Release)
Final Judgment Entered Against Former Microcap Stock Promoter (SEC Release)
SEC Awards 30% of Sanctions Collected To Whistleblower Claimant
Order Determining Whistleblower Award Claims
Jaime Lizárraga Sworn In as SEC Commissioner (SEC Release)
Federal Court Orders Texas Man to Pay Over $290,000 for Manipulative and Deceptive Digital Asset Pump-and-Dump Scheme (CFTC Release)
Federal Court Imposes Over $29 Million in Restitution and Penalties Against California and Colorado Residents for Binary Options and Forex Fraud, Registration Violations, and Failure to Comply with Commodity Pool Operator Regulations (CFTC Release)
FINRA Censures and Fines Wilson-Davis & Co., Inc. for Customer Protection Rule and Supervision
In the Matter of Wilson-Davis & Co., Inc. Respondent (FINRA AWC)
FINRA Panel Award Over $600,000 in Case Citing Risk Tolerance
In the Matter of the Arbitration Between Frank K. Lee, IRA, Claimant, v. First Kentucky Securities Corporation, Respondent (FINRA Arbitration Award)
FINRA Arbitration Panel Presented With Smorgasbord of Damages
In the Matter of the Arbitration Between Ravshan Rakhmanov, Claimant, v. TD Ameritrade, Inc., Respondent (FINRA Arbitration Award)
