Robin Hood Is Pillaging the Sheriffs of BlackRock / Retail investors surprisingly bested institutions during the Covid crisis. They could yet be left holding the baby. (Bloomberg by John Authers)
King dollar's decline ripples across the globe (Bloomberg by Saqib Iqbal Ahmed and Ira Iosebashvili)
Securities Trader Admits Market Manipulation Scheme that Netted More Than $17 Million in Illicit Profits (DOJ Release)
SEC Charges Valic Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators / SEC also Charges Valic Financial Advisors in Separate Action for Mutual Fund Selection Violations (SEC Release)
British Citizen Sentenced To Four Years In Prison For His Role In Fraudulent Investment Scheme Related To Co-Working Business (SEC Release)
SEC Denies Request for Open-Ended Stay
In the Matter of Mark Feathers (SEC Order)
SEC Grants Extension on Answer To Allow Retention of Counsel
In the Matter of Barton W. Stuck (SEC Order)
Former Real Estate Attorney and Wife Indicted on Mortgage Fraud and Tax Charges (DOJ Release)
FINRA Fines Firm Over AML/SARs Supervisory Deficiencies
In the Matter of HIlltop Securities, Inc., Respondent (FINRA AWC)
FINRA Sanctions Concorde Investments Services and CCO Levy Over Supervisory Lapses (BrokeAndBroker.com Blog)
