SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics (SEC Release)
Legend-ary FINRA Public Customer Arbitration (BrokeAndBroker.com Blog)
Double Jeopardy Clause After Kokesh in SEC Civil Disgorgement: USA, Plaintiff/Appellee, v. Douglas A. Dyer and James H. Brennan III, Defendants/Appellants (Opinion, United States Court of Appeals for the Sixth Circuit, 17-6174 and 17-6177 / November 13, 2018)
Oisin's Bits: LPL hacked through Capital Forensics' breach, leaks personal info, account numbers (RIABiz.com)
Trader Sentenced to 15 Months in Federal Prison for Misappropriating $1.1 Million in Cryptocurrencies (DOJ Release)
FINRA Settles Business Expense Case
In the Matter of John J. Baldeck, Respondent (AWC 2016050321501, November 12, 2018).
Nigerian National Indicted for Internet Fraud Scheme (DOJ Release)