SEC Charges Additional Four Unregistered Brokers Who Sold $24 Million in 1 Global Securities to Retail Investors (SEC Release)
Birmingham Business Pleads Guilty to Wire Fraud (DOJ Release)
Acton Investment Advisor Sentenced for Stealing More Than $3.7 Million of Clients' Funds (DOJ Release)
Securities Commissioner Stops Another Online Forex and Cryptocurrency Scam (TSSB Release)
FINRA Fines and Suspends Rep for PST
In the Matter of Tonya Nicole Smoake, Respondent (FINRA AWC)
FINRA Fines and Suspends Associated Person Four Unauthorized Study Materials
In the Matter of Carlos Sosa, Respondent (FINRA AWC)
Every Vote Counts: The Importance of Fund Voting and Disclosure (SEC Speech by Acting Chair Lee)
CFTC Acting Chairman Behnam Establishes New Climate Risk Unit / Interdivisional Group Will Focus on Derivatives Markets' Role in Addressing Climate-Related Risk and Transitioning to Low-Carbon Economy (CFTC Release)
FINRA Charges Operations Professional $5,000 for Sushi (BrokeAndBroker.com Blog)
The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)