Pawtucket Man Sentenced in International Scam Targeting the Elderly (DOJ Release)
E Pur Si Mouve, Idioti! (Or So An SEC ALJ Should Mutter) (BrokeAndBroker.com Blog)
SEC Charges International Security-Based Swaps Dealer That Targeted U.S. Investors (SEC Release)
SEC Obtains Final Judgement Against Thailand-Based Trader Charged with Insider Trading (SEC Release)
FINRA Fines and Suspends Two Reps For Enabling Statutorily Disqualified Individual to Engage in Securities Business. FINRA Department of Enforcement, Complainant, vs Kim K. Kopacka and Beth A. DeBouvre, Respondents (Order Accepting Offer of Settlement).
FINRA Censures, Fines, and Imposes Undertakings on Member Firm over OBA, Electronic Communications, and Branch Inspection Violations. In the Matter of Aurora Capital LLC, Respondent (FINRA AWC)
FINRA Censures and Fines Firm, and Fines and Suspends FINOP Over FOCUS Violations. In the Matter of Alexander Capital. L.P. and Thomas Sullivan, Respondents (FINRA AWC)