Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)
Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)
US Department of Labor orders Wells Fargo to pay more than $22M for retaliating against executive that alleged financial misconduct / Whistleblower alleged violations of financial laws (OSHA Release)
Co-Founder And Chief Investment Officer Of London-Based Hedge Fund Charged With FX Market Manipulation And Fraud (DOJ Release)
San Diego Corporate and Securities Attorney Indicted for Securities Fraud, Assisting Planned Pump-and-Dump Scheme (DOJ Release)
San Bernardino County Man Sentenced to 14 Years in Federal Prison for Multimillion-Dollar Investment Fraud and Cheating on His Taxes (DOJ Release)
SEC Charges Florida Man for His Role in $196 Million Ponzi Scheme (SEC Release)
Arizona and California Men Sentenced for $20 Million Investment Fraud (DOJ Release)
'Modern-day Bonnie and Clyde' admit to fraud charges related to pilfered mail, stolen funds / Defendant faces up to 30 years in prison (DOJ Release)
Georgia Man Sentenced to Over 7 1/2 Years in Prison for Synthetic Identities Scheme That Defrauded Banks Out of Nearly $2 Million (DOJ Release)
California Man Arrested for $7 Million Securities Fraud (DOJ Release)
SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees (SEC Release)
SEC Charges Marijuana Start-Up Company and Its Operatives with Securities Fraud (SEC Release)
In the Matter of the Application of JOHN DOE For Review of Action Taken by FINRA (SEC Order Requesting Additional Written Submissions, '34 Act Rel. No. 95662, Admin. Proc. File No. 3-21013)
SEC Charges Private Fund Adviser and Its Principal for Fraud (SEC Release)
SEC Charges Archer Capital Management Group, the Archer Growth Fund and Related Entities with Defrauding Investors (SEC Release)
SEC Files Subpoena Enforcement Action Against Two Principals of Broadway Musical Fund (SEC Release)
SEC Files Subpoena Enforcement Action Against South Florida Man, His Sister and Their Companies (SEC Release)
SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million (SEC Release)
SEC Files Subpoena Enforcement Action Against Issuer for Failure to Produce Documents (SEC Release)
SEC Charges Hedge Fund Portfolio Manager with Fraud (SEC Release)
Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Order / Relief Defendant Required to Disgorge Funds Received from Defendants (CFTC Release)
FINRA Arbitrators Award About 2/10ths of a Percent of Claimants' Damages Demand Against Raymond James and Rep
In the Matter of the Arbitration Between Christina and Erik Elwell, Claimant, v. Raymond James Financial Services, Inc., Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, LLC, and Daniel Lawrence Pimental, Respondents (FINRA Arbitration Award)
FINRA Censures, Fines Orders Restitution from Robert W. Baird & Co. for Unfair Commission Charges
In the Matter of Robert W. Baird & Co., Respondent (FINRA AWC)
FINRA Fines and Suspends Former David Lerner Associates Rep for Unsuitable Blind Pools Recommendations
In the Matter of Russ Kory, Respondent (FINRA AWC)
FINRA Fines and Suspends Former RBC Capital Markets Rep for Discretionary Trading
In the Matter of John Charles Barnes, Respondent (FINRA AWC)
FINRA Fines and Suspends Former SagePoint Financial Rep for OBA
In the Matter of Michael G. Ferrera Jr., Respondent (FINRA AWC)
FINRA Censures and Fines Acorn Securities for Inaccurate Account Statements
In the Matter of Acorns Securities, LLC, Respondent (FINRA AWC)
FINRA Fines and Suspends Former Joseph Stone Capital Rep for Excessive/Unsuitable Trading
In the Matter of Miguel Angel Murillo, Respondent (FINRA AWC)
FINRA Fines and Suspends Former Mutual of Omaha Investor Services Rep for Sending Customer Info Via Email
In the Matter of Kyle Luebeck, Respondent (FINRA AWC)
FINRA Fines and Suspends Former Huntington Rep for Tax Preparer OBA
In the Matter of Ossama Mohamed Helal, Respondent (FINRA AWC)
FINRA Fines and Suspends Former Thrivent Rep for Sales Coaching/Training OBA
In the Matter of Simon Dude Granner, Respondent (FINRA AWC)
FINRA Fines and Suspends Former Joseph Stone Rep for Willfully Failing to Disclose the Judgment, Two Liens, and Bankruptcy Petition
In the Matter of Christopher Stephen Perrillo, Respondent (FINRA AWC)
