2Cir Affirms FINRA Arbitration Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment (BrokeAndBroker.com Blog)
Indiana Woman Convicted Of Conspiracy To Commit Mail Fraud, Wire Fraud, And Money Laundering In Advance-Fee Fraud Scheme Targeting Deaf And Elderly (DOJ Release)
Latvian National Charged for Alleged Role in Transnational Cybercrime Organization (DOJ Release)
SEC Announces Removal of William D. Duhnke III from the Public Company / Accounting Oversight Board; Duane M. DesParte to Serve as Acting Chair Commission to Seek Candidates for all Five Board Positions (SEC Release)
Statement on The Commission's Actions Regarding the PCAOB (by Commissioner Hester M. Peirce and Commissioner Elad L. Roisman)
FINRA Arbitrators Reject Claim Against Robinhood Citing Application Glitch
In the Matter of the Arbitration Between Trevor Starnes, Claimant, v. Robinhood Financial, LLC, Respondent (FINRA Arbitration Award, Case Number: 21-00207)
FINRA Fines and Suspends Rep Over KYC Violations
In the Matter of Woong Seong Hwang, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep Over Discretionary Trading
In the Matter of Ricardo Turlan, Respondent (FINRA AWC)
