Antitrust suit against Schwab and TD Ameritrade merger draws 'stunt' accusations and judge agrees / Franklin Tsung's company, BlackCrown, filed a suit in New York against Schwab and TD, but his decision to do so without a lawyer made it a clear 'stunt,' sources say. (RIABiz.com by Oisin Breen)
Swiss Asset Management Firm And Its Owner Charged In Manhattan Federal Court For Orchestrating Stock Manipulation Scheme / Danish National Who Participated in the Scheme Is Also Charged (DOJ Release)
SEC Charges Six Individuals in International Microcap Fraud Schemes (SEC Release)
Alleged Dark Web Narcotics Trafficker Indicted for Distributing Heroin and Methamphetamine in Exchange for Bitcoin / Offered Free Shipping of Illegal Drugs to Customers in the United States (DOJ Release)
SEC Charges Individuals for Assisting Broker-Dealer's Net-Capital Violations (SEC Release)
SEC Obtains Final Judgments Against Credit Ratings Analyst and Two Friends Charged with Insider Trading (SEC Release)
FINRA Arbitrators Award Damages On 2008-Solicited Annuity When Contract First Delivered in 2018. In the Matter of the Arbitration Between Larry A. Longhi, Claimant, v. James W. Ray, Respondent (FINRA Arbitration Decision)
FINRA Needs To Better Coordinate Its Admonition of Statutory Disqualification (BrokeAndBroker.com Blog)
Raymond James Rep Can't Get No Non-Attorney Representative To Not Make No FINRA Arbitration Proffer (BrokeAndBroker.com Blog)
