Testimony Before the House Committee on Financial Services of SEC Chair Gary Gensler / May 6, 2021
GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq (BrokeAndBroker.com Blog)
New York and Florida Resident Charged with $3.8 Million Paycheck Protection Program Fraud Scheme (DOJ Release)
Two Texas Women Sentenced to Federal Prison for Involvement in Transnational Elder Fraud Scheme (DOJ Release)
Fraudster Who Scammed More Than 100 Elderly Victims of More Than $775,000 Through Lottery Scheme Sentenced to Eight Years in Federal Prison / Falsely Told Victims They Won a Lottery or Sweepstakes, but Needed to Pay Taxes or Fees in Order to Receive the Prize (DOJ Release)
Owner Of Real Estate Crowdfunding Investment Company Pleads Guilty To Mail Fraud (DOJ Release)
FINRA Censures and Fines Cantor Fitzgerald Over Short Interest Reporting
In the Matter of Cantor Fitzgerald & Co., Respondent (FINRA AWC)
FINRA Censures and Fines UnionBanc Investment Services Over Variable Annuities Supervision
In the Matter of UnionBanc Investment Services, LLC, Respondent (FINRA AWC)
Former Raymond James Rep Wins One and Loses One in Employment Disputes (BrokeAndBroker.com Blog)
Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)
The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks (BrokeAndBroker.com Blog)
