FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)
Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)
The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)
TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration
(BrokeAndBroker.com Blog)
DOJ RELEASES
Former Credit Union employee who repeatedly stole from elderly woman's account sentenced to a year in prison / Over three years he stole more than $129,000 for his personal expenses (DOJ Release)
CEO and President of Hawaii Shipbuilding Company Charged with Securities Fraud (DOJ Release)
Three Men Convicted of $1 Million 'Upfront-Fee' Scheme (DOJ Release)
Former Raleigh Investment Advisor Found Guilty in Healthcare Fraud that Targeted the Elderly and Disabled (DOJ Release)
Sarasota Man Sentenced To 23 Years In Federal Prison For Running $80 Million "Oasis" FOREX Ponzi Scheme (DOJ Release)
Chesterfield Man Convicted in Scheme to Embezzle Funds in Law Firm Trust Account (DOJ Release)
SEC RELEASES
SEC Obtains Final Judgment Against Perpetrator of Boiler Room Scheme (SEC Release)
SEC Obtains Settlement Against Investment Professionals Charged with Cherry Picking (SEC Release)
SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud (SEC Release)
SEC Obtains Final Judgment Against Investment Advisers Charged with Defrauding Their Advisory Clients (SEC Release)
SEC Charges Mattel with Financial Misstatements and Former PwC Audit Partner with Improper Professional Conduct (SEC Release)
SEC Obtains Judgments Against Three Defendants in a Microcap Fraud Scheme (SEC Release)
SEC Grants Waiver for Deficient Form TCR and Awards Claimant Over $400,000 Whistleblower Award
Order Determining Whistleblower Award Claims
SEC Awards Two Claimants Over $1 Million and Over $500,000 in Whistleblower Awards
Order Determining Whistleblower Award Claims
SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee- and Expense-Related Information in Fund Advertisements (SEC Release)
Simplicity is a Goal Unto Itself: Statement on Tailored Shareholder Reports for Mutual Funds and Exchange Traded Funds; Fee Information in Investment Company Advertising by SEC Commissioner Caroline A. Crenshaw
Modernizing Mutual Fund and ETF Disclosures for Investors by SEC Commissioner Jaime Lizárraga
One Good Step, More to Go: Statement on Final Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements by SEC Commissioner Hester M. Peirce (SEC Release)
Statement on Final Rule Regarding Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements by SEC Commissioner Mark T. Uyeda
SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules (SEC Release)
Statement on Listing Standards for Recovery of Erroneously Awarded Compensation by SEC Commissioner Caroline A. Crenshaw
Statement on Listing Standards for Recovery of Erroneously Awarded Compensation by SEC Commissioner Jaime Lizárraga
Erroneous Clawbacking: Statement at Open Meeting to Consider Listing Standards for Recovery of Erroneously Awarded Compensation by SEC Commissioner Hester M. Peirce
Statement on the Final Rule Related to Listing Standards for Recovery of Erroneously Awarded Compensation by SEC Commissioner Mark T. Uyeda
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers
In Service of the Investor: Statement on Outsourcing by Investment Advisers by SEC Commissioner Caroline A. Crenshaw
Accountability in an Evolving Asset Management Industry by SEC Commissioner Jaime Lizárraga (SEC Release)
Outsourcing Fiduciary Duty to the Commission: Statement on Proposed Outsourcing by Investment Advisers by SEC Commissioner Hester M. Peirce
Statement on Proposed Rule Regarding Outsourcing by Investment Advisers by SEC Commissioner Mark T. Uyeda
Remarks at the Georgetown Law Hotel and Lodging Summit by SEC Commissioner Mark T. Uyeda
"Competition and the Two SECs" Remarks Before the SIFMA Annual Meeting by SEC Chair Gary Gensler
CFTC RELEASES
Federal Court Orders California Man and His Commodity Pool Operator and Introducing Broker to Pay Over $2.3 Million for Commodity Fraud and Making False Statements to the NFA (CFTC)
FINRA RELEASES
FINRA Fines and Suspends Rep for Excessive Trading
In the Matter of Nigel Ronald James, Respondent (FINRA AWC)
FINRA Fines and Suspends Principal for Supervision of VRSPs
In the Matter of Teresa Douberly, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Forging Supervisor's Electronic Signature
In the Matter of Heather S. Skipper, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Falsifying Rep Code
In the Matter of Robert Louis Takacs, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Guaranteeing Customer Against Loss and Texting
In the Matter of Dennis David Karjala, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for PSTs
In the Matter of Chad M. Koehn, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Excessive Trading
In the Matter of Stephen James Sullivan, Respondent (FINRA AWC)
