SEC Obtains Judgment Against California Trader Charged with Posting False Stock Tweets (SEC Release)
SEC Charges Mississippi Company and Its Principal in Multi-Million Dollar Ponzi Scheme (SEC Release)
South Florida Lawyer Charged with Fraud Related to 1 Global Capital Investment Scheme (DOJ Release)
SEC Charges South Florida Lawyer with Securities Fraud (SEC Release)
Two South Florida Lawyers and Former Chief Operating Officer Sentenced for Roles in Massive 1 Global Capital Investment Scheme (DOJ Release)
Judge sentences Tennessee man to 27 months for wire fraud in investment fraud scheme (DOJ Release)
Federal Court Orders Ohio Resident and Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with the CFTC (CFTC Release) a>
Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice (SEC Release)
Statement on Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches by SEC Chair Gary Gensler (SEC Release)
SEC Orders $1.2 Million Award to Whistleblower But Denies Related Action Award
Order Determining Whistleblower Award Claim
SEC Orders Over $1 Million In Awards to Three Whistleblowers
Order Determining Whistleblower Award Claim
SEC Orders Award Of Over $350,000 to Whistleblower
Order Determining Whistleblower Award Claim
SEC Orders 30% Award to Whistleblower
Order Determining Whistleblower Award Claim
FINRA Fines and Suspends Rep for Outside Brokerage Account and Untimely Responses
In the Matter of Julio Cesar Lage, Respondent (FINRA AWC)