Justice Department Files Antitrust Case and Simultaneous Settlement Requiring National Association of Realtors To Repeal and Modify Certain Anticompetitive Rules / Settlement Will Increase Competition to the Benefit of American Homeowners and Homebuyers and Allow for Innovation in Brokerage Markets (DOJ Release)
Investment Manager Indicted on Fraud Charges for Allegedly Swindling Clients Out of Hundreds of Thousands of Dollars (DOJ Release)
Former Chief Executive Officer And Chief Operating Officer Of Publicly Traded Biopharmaceutical Company Found Guilty Of Accounting Fraud (DOJ Release)
Lawyer Sentenced For His Role In Fraud Scheme (DOJ Release)
[In]Securities Guest Blog: Eggs from the Golden Goose By Aegis Frumento Esq (BrokeAndBroker.com Blog)
SEC Awards Whistleblower Over $900,000 (SEC Release)
Gaithersburg Brothers Facing Federal Charge for Their Roles in a $5 Million Romance Scheme / Allegedly Stole and Laundered over $5 Million from About 200 Victims Around the World (DOJ Release)
FINRA Arbitration Videoconference Proves a Disaster for Customer Claimants
In the Matter of the Arbitration Between Richard and Barbara Brody, as Trustees of the Richard Brody Revocable Trust and Barbara Brody Revocable Trust, Claimants, v. UBS Financial Services, Inc., Respondent (FINRA Arbitration Award)
SEC Adopts Amendments to Modernize and Enhance Management's Discussion and Analysis and other Financial Disclosures (SEC Release)
Joint Statement on Amendments to Regulation S-K: Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information (SEC Commissioners Allison Herren Lee and Caroline A. Crenshaw)
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) (SEC Release No. 34-90454; File No. SR-FINRA-2020-040 / November 18, 2020)
