Georgia Court of Appeals Reverses Leggett v. Wells Fargo (BrokeAndBroker.com Blog)
Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest (SEC Staff Bulletin)
"Boiler Room" Operator Pleads Guilty to International Securities Fraud Conspiracy / Defendant and Co-Conspirators Manipulated the Price and Trading Volume of a Publicly Traded Stock in the United States (DOJ Release)
Former Westlake Investment Advisor Sentenced to Nearly 22 Years in Prison for Operating Ponzi Scheme (DOJ Release)
Two Orange County Men Sentenced to Federal Prison for Conning Investors Out of $1.9 Million Through Cryptocurrency Offering (DOJ Release)
Man Sentenced to 21 Months in Prison for Stock Fraud Schemes (DOJ Release)
Illinois man admits depositing hundreds of worthless checks in $157,000 bank fraud scheme ((DOJ Release)
SEC Charges Convertible Note Dealer and its Long Island-Based Owners for Failure to Register (SEC Release)
SEC Awards About $500,000 To Two Whistleblower Claimant
Order Determining Whistleblower Award Claims
CFTC Customer Advisory Highlights What Customers Should Know Before Trading Over-the-Counter Forex / Fraudsters posing as OTC forex dealers take deposits, but refuse withdrawals (CFTC Release)
FINRA Fines and Suspends Rep for Having Son Named Beneficiary of Customer's Life Insurance
In the Matter of David John Wilkie, Respondent (FINRA AWC)
FINRA Bars Rep for Reimbursed Commission from Customer's Estate
In the Matter of Timothy Jay Fazzone, Respondent (FINRA AWC)
Equity And Justice Prevail In Breathtaking FINRA Expungement Award (BrokeAndBroker.com Blog)
FINRA Small Firms Face Existential Crisis. VOTE Stephen Kohn for Small Firm Governor (BrokeAndBroker.com Blog)
