Cuyahoga Gone in Appellate Ruling To Send Dispute to FINRA Arbitration (BrokeAndBroker.com Blog)
Making lemonade of legal lemons, new wave of ERISA class actions accuse fiduciaries of 'imprudently' using low-fee, high-rated funds, like BlackRock TDFs / The lawsuits against 401(k) plan sponsors also threaten every RIA and fiduciary, if underperformance becomes a legal liability, lawyers say (RIABiz by Oisin Breen)
Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX / Former CEO Agrees to Settle to Same Charges and Pay $1 Million (SEC Release)
SEC Charges Former EY Employee with Insider Trading (SEC Release)
CFTC Charges New York Introducing Broker with Failing to Maintain Required Audio Recordings (CFTC Release)
CFTC Charges Five Entities for Failing to Register as FCMs (CFTC Release)
CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act / CFTC Order Finds, and Complaint Alleges, Ooki DAO is Liable as an Unincorporated Association (CFTC Release)
Dissenting Statement of Commissioner Summer K. Mersinger Regarding Enforcement Actions Against: 1) bZeroX, LLC, Tom Bean, and Kyle Kistner; and 2) Ooki DAO
GUEST BLOG: A Personal Message From Granville A. Ungerleider, Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council (BrokeAndBroker.com Blog)
Insurance Broker Charged in $4 Million Investment Fraud and Ponzi Scheme (DOJ Release)
Arcadia Man Charged with Securities Fraud for Stealing Client Funds and Concealing His Investment Firm's Massive Financial Losses (DOJ Release)
SEC Charges Former Business News Commentator with Misappropriating Client and Investor Funds (SEC Release)
SEC Charges Former Registered Investment Advisor Representative with Securities Fraud (SEC Release)
SEC Charges Recidivists for Violations of a Previous Commission Order (SEC Release)
CFTC Orders Two California Precious Metals Companies to Pay Over $1 Million for Fraud, Illegal Offering of Retail Commodity Transactions, and Registration Violations (CFTC Release)
FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft Charge
In the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)
FINRA Censures and Fines IBN Financial Services, Inc. for OBA Supervision
In the Matter of IBN Financial Services, Inc., Respondent (FINRA AWC)
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)
Manhattan Real Estate Fund Manager Sentenced To Prison For Securities Fraud (DOJ Release)
SEC Charges Cheetah Mobile's CEO and its Former President with Insider Trading / Executives Sold Securities through a Purported 10b5-1 Trading Plan (SEC Release)
SEC Charges Securities Professional and Former Corporate Insider with Insider Trading (SEC Release)
SEC Denies Whistleblower Award to Claimant
Order Determining Whistleblower Award Claims
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)
Former U.S. Department of Housing and Urban Development Assistant Inspector General Convicted of Falsifying Financial Disclosure Forms (DOJ Release)
Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)
SEC Charges Investment Adviser with Violating the Proxy Voting Rule (SEC Release)
Statement Regarding In the Matter of Toews Corporation by SEC Commissioner Hester Peirce and Commissioner Mark T. Uyeda
SEC Awards Joint Claimants Almost $280,000 Whistleblower Award
Order Determining Whistleblower Award Claims
Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)
Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens Without Disclosing Compensation (SEC Release)
SEC Obtains Final Judgment Against Municipal Advisor and Its Owner in Municipal Bond Offering Schemes (SEC Release)
FINRA Bars Former Merrill Lynch Rep for Conversion of Childcare Reimbursements
In the Matter of Jared Winston, Respondent (FINRA AWC)
Opening Remarks to the Institute for Inclusion in the Legal Profession by SEC Chair Gary Gensler
U.S. Promoter of Foreign Cryptocurrency Company Sentenced to Prison for Role in Fraud Scheme (DOJ Release)
Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants (CFTC Release)
FINRA Fines and Suspends Former Wells Fargo Clearing Services Rep for Suitability Involving New Issue Preferred Securities and Cell Phone Communications
In the Matter of Solomon Wei-En Hua, Respondent (FINRA AWC)
FINRA Enforcement: Bringing Cases Against Individual Brokers (FINRA Unscripted)
