BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)
Former SEC Ombudsman Misled Congress, Lied to IG, Probe Alleges (Bloomberg by John Holland)
SEC Awards Joint Claimants Almost $280,000 Whistleblower Award
Order Determining Whistleblower Award Claims
Court orders 'biblically based' RIA and execs to pay $2m over 12b-1 fees (Citywire RIA by Andrew Foerch)
President Of Sham United Nations Affiliate Sentenced To 42 Months In Prison For Cryptocurrency Scheme (DOJ Release)
Florissant Bank Manager Accused of Defrauding Elderly Customers (DOJ Release)
New Haven Man Admits Stealing More Than $160K from Retired Woman's Bank Account (DOJ Release)
SEC Charges Promoter and Companies with $4 Million Fraud (SEC Release)
SEC Charges Real Estate Investment Firm and Principal with $100 Million Offering Fraud (SEC Release)
SEC Charges Gol Intelligent Airlines, Brazil's Second Largest Airline, with FCPA Violations (SEC Release)
SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud (SEC Release)
Laudable Ends, Poorly Pursued: Statement Regarding Recent Pay-to-Play Rule Settlements by SEC Commissioner Hester M. Peirce
FINRA Fines and Suspends Former Edward Jones Rep for Compensating Customer for CD Losses
In the Matter of Daniel Shawn Murff, Respondent (FINRA AWC)
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery (BrokeAndBroker.com Blog)
Wilmington Investment Advisor Pleads Guilty to Charges Related to $7 Million Scheme to Defraud Clients (DOJ Release)
Queens Man Sentenced to Prison and to Pay $842,000 Restitution for Foreign Exchange Fraud and Money Laundering / Defendants' Schemes Targeted the Korean American Community in Queens (DOJ Release)
Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs by SEC Chair Gary Gensler
SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering (SEC Release)
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)
Banker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)
SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule (SEC Release)
SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market (SEC Release)
Statement on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities by SEC Commissioner Caroline A. Crenshaw
Statement on Treasury Clearing by SEC Commissioner Jaime Lizárraga
Treasury Clearing Standards for Membership Requirements and Risk Management by SEC Commissioner Hester M. Peirce
Statement on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities by SEC Commissioner Mark T. Uyeda
SEC Denies Whistleblower Award to Claimant Citing NFA Status
Order Determining Whistleblower Award Claims
SEC Charges South Florida Venture Capital Firm and Others with Acting as Unregistered Brokers and Selling $3 Million in Securities to Investors (SEC Release)
FINRA Fines and Suspends Former MM Global Securities Rep for Instant Messaging
In the Matter of Peng Zhang, Respondent (FINRA AWC)
UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)
STANDING RESPONSE TO DMCA TAKEDOWN NOTICES PERTAINING TO COVERAGE OF In the Matter of the Arbitration Between Jay Lombard, Claimant vs. GunnAllen Financial, Inc., and David Neil Soiferman, Respondents / RE-POSTED IN RESPONSE TO September 13, 2022 / DMCA Takedown Notice. Prior 2020 DMCA Notice Reversed
Man Sentenced to 135 months for Operating a "Ponzi" Scheme and Committing Securities and Bank Fraud (DOJ Release)
SEC Charges Former Investment Adviser with Stealing from Clients (SEC Release)
SEC Awards Joint Claimants $500,000 Whistleblower Award
Order Determining Whistleblower Award Claims
SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law (SEC Release)
SEC Brings Settled Actions Charging Cherry-Picking and Compliance and Supervisory Failures (SEC Release)
SEC Charges VMware with Misleading Investors by Obscuring Financial Performance (SEC Release)
Tippee Pleads Guilty In First Ever Cryptocurrency Insider Trading Case / Nikhil Wahi Traded Based on Tips From a Former Coinbase Employee Regarding Crypto Assets That Were Going to be Listed on Coinbase Exchanges (DOJ Release)
Romanian National Sentenced to Prison for Role in International Online Auction Fraud Scheme (DOJ Release)
FINRA Fines BofA Securities, Inc. $5 Million for Large Options Position Reporting Failures / Firm Failed to Report Over-the-Counter Options Positions in More Than 7.4 Million Instances (FINRA Release)
SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner's Income Tax Liability (SEC Release)
Remarks at the "SEC Speaks" Conference 2022 by SEC Commissioner Mark T. Uyeda
SEC Denies Whistleblower Award to Claimant
Order Determining Whistleblower Award Claims
SEC Denies Whistleblower Award to Claimant
Order Determining Whistleblower Award Claims
SEC Denies Whistleblower Award to Claimant
Order Determining Whistleblower Award Claims
SEC Denies Whistleblower Award to Claimant Citing Untimely Filing
Order Determining Whistleblower Award Claims
SEC Denies Whistleblower Award to Claimant Citing "Potential or Theoretical Use"
Order Determining Whistleblower Award Claims
FINRA Censures and Fines SagePoint for Financial Margin Suitability
In the Matter of SagePoint Financial, Inc., Respondent (FINRA AWC)
FINRA Censures, Fines, and Imposes Outside Consultant Undertaking on Glendale Securities
In the Matter of Glendale Securities, Inc., Respondent (FINRA AWC)
FINRA Censures, Fines, and Prohibits Market Access in MM Global Securities, Inc. Settlement
In the Matter of MM Global Securities, Inc., Respondent (FINRA AWC)
FINRA Fines and Suspends Former NYLife Securities LLC Rep for Private Securities Transaction and OBA
In the Matter of Ronald Coy Bailey, Respondent (FINRA AWC)
