Orange is the new black for Aequitas execs as Ponzi nightmare nears end-game with jail time (RIABiz.com by Oisen Breen)
Puhlease tell me that it can't be this easy. And then tell me how Dan Dxrams becomes Dan Kusi.
Two New Jersey Men Found Guilty in Phony Debt Elimination Scheme (DOJ Release)
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration (BrokeAndBroker.com Blog)
Walmart Inc. and Brazil-Based Subsidiary Agree to Pay $137 Million to Resolve Foreign Corrupt Practices Act Case (DOJ Release)
Walmart Charged With FCPA Violations (SEC Release)
SEC Freezes Assets in International Manipulative Trading Scheme (DOJ Release)
Twenty-One Individuals Indicted on Charges of Conspiracy to Commit Interstate Transportation of Stolen Used Cooking Oil, Money Laundering, Harboring Aliens, and Immigration-Related Entrepreneurship Fraud (DOJ Release)
SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors (SEC Release)
FINRA Fines Edward D. Jones & Co. for Understating Customers' Damages. In the Matter of Edward D. Jones & Co., L.P., Respondent (FINRA AWC)
FINRA Fines Citigroup Global Markets for UIT Sales Charge Discounts. In the Matter of Citigroup Global Markets Inc, Respondent (FINRA AWC )
Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) (FINRA.org)
