Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)
In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)
Lucy's Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted By Harvard Law School and the Program on International Financial Systems (Speech by SEC Commissioner Hester Peirce)
SEC Charges Ohio Investment Adviser with Defrauding Retail Investors (SEC Release)
Founder And CEO Of Cyberfraud Prevention Company Arrested And Charged With Securities Fraud Scheme / Adam Rogas Allegedly Raised $123 Million from Investors Using Financial Statements that Showed Tens of Millions of Dollars of Revenue and Assets that Did Not Exist (DOJ Release)
SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings (SEC Release)
SEC Charges Pharmacy Chain Employee with Insider Trading (SEC Release)
11Cir Says No Mulligan for Citigroup in Wrongful Termination of At-Will Employee
Christian S. Gherardi, Plaintiff/Appellant, v. Citigroup Global Markets Inc., Defendant/Appellee (Opinion, United States Court of Appeals for the Eleventh Circuit, No. 18-13181)
FINRA NAC Modifies Findings and Sanctions for Rep Who converted funds, made material misrepresentations, and executed bad checks and failed electronic transfers
In the Matter of Department of Enforcement, Complainant, v. Michael Joseph Clarke, Respondent (FINRA NAC Decision)
