Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement (BrokeAndBroker.com Blog)

If you lost money in crypto, here's how you can get some back / Investors want to flee crypto funds, like those at Anthony Scaramucci's SkyBridge. And regulators are MIA. But there are tax moves that can help ease the pain of losses. (Philadelphia Inquirer by Erin Arvelund)

Justice Department and Consumer Financial Protection Bureau Secure Agreement with Trident Mortgage Company to Resolve Lending Discrimination Claims / Settlement Provides Over $20 Million to Increase Credit Opportunities in Neighborhoods of Color / First Redlining Settlement Against Mortgage Company; Second Largest Redlining Settlement in Justice Department History (DOJ/CFPB Release)

About $7 Million in Compensatory/Punitive Damages and Fees Awarded in FINRA Arbitration Citing Securities America, Inc. and Others in Sale of Financial Advisory Practice

In the Matter of the Arbitration Between Theresa Irene Stone, et al., Claimants, v. Securities America, Inc., et al., Respondents (FINRA Arbitration Award)

SEC Charges Florida Resident with Operating a Ponzi Scheme That Targeted Haitian-American Community (SEC Release)

District-Based Financial Services Professional Pleads Guilty to Federal Charge of Insider Trading / Defendant Admits Using Non-Public Information for Personal Benefit (DOJ Release)

Court Holds British Businessman Accountable for Orchestrating Ponzi Scheme (SEC Release)

Chairman Behnam Announces Technology and Customer Outreach Reorganization / Reorganization Move acknowledges the agency's evolution alongside the growth of FinTech, digital assets, and retail participation (CFTC Release)

FINRA Fines and Suspends Former Merrill Lynch Rep for PSTs

In the Matter of Richard A. Hogan, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Untimely Felony Disclosures

In the Matter of Brian Harold Young, Respondent (FINRA AWC)

Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice) VOTE FOR STEPHEN A. KOHN FOR SMALL FIRM GOVERNOR

GUEST BLOG: FINRA and Another Nail . . . A Personal Message From Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor (BrokeAndBroker.com Blog)

Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court (BrokeAndBroker.com Blog)

Fidelity Brokerage Services Has Two Trains Runnin' in FINRA Arbitration and Federal Court (BrokeAndBroker.com Blog)

Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)

VOTE FOR STEPHEN A. KOHN FOR SMALL FIRM GOVERNOR

GUEST BLOG: FINRA and Another Nail . . . A Personal Message From Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor (BrokeAndBroker.com Blog)

SEC Charges Former Indiana Congressman with Insider Trading/ Stephen Buyer allegedly used inside information to buy $1.5 million in stocks (SEC Release)

SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit's Analysis and Detection Center (SEC Release)

Delray Beach Woman Sentenced To 30 Months In Prison For Her Role In International Boiler Room Conspiracy (DOJ Release)

Another SEC Whistleblower Treated Like Crap and Failed by the Law

Victor Hong, Petitioner, v. United States Securities and Exchange Commission, United States of America, Respondents (2Cir Opinion)

6Cir Lacks FAA Jurisdiction to Enjoin FINRA Arbitration

Carolyn Valentine, CPA, Plaintiff/Appellant, v. Health and Wellness Lifestyle Clubs, LLC, Defendant/Appellee (6Cir Opinion)

Movie Producer Sentenced to Over 21 Years for Role in Film Financing Scheme (DOJ Release)