The Cyberfraud Prevention Fraud, The Impeded Whistleblowing, and The Dissenting SEC Commissioner (BrokeAndBroker.com Blog)
FINRA Cites RBC Capital Market's Supervisory Review, Personnel Turnover, and Outdated Tech (BrokeAndBroker.com Blog)
DOJ RELEASES
Florida Man Sentenced to 45 Months in Prison for Laundering Funds Related to $50 Million Wire and Securities Fraud Scheme (DOJ Release)
Concord Man Pleads Guilty to Defrauding Investor (DOJ Release)
Instagram Personality Known as "Jay Mazini" Pleads Guilty to Wire Fraud, Wire Fraud Conspiracy and Money Laundering / Defendant Admits Perpetrating Fraudulent Schemes, Including Investment Scheme that Bilked Muslim-American Community Out of Over $8 Million (DOJ Release)
Band Of Cybercriminals Responsible For Computer Intrusions Nationwide Indicted For Rico Conspiracy That Netted Millions (DOJ Release)
Burlington County Man Admits Bank Fraud (DOJ Release)
Former New Jersey Man Sentenced to Federal Prison for Role in Scheme to Defraud Elderly Oregonian (DOJ Release)
Rhode Island Man Pleads Guilty to Charges for Swindling Victims Who Thought They Were Investing in 'Magic Mike' Stage Show (DOJ Release)
SEC RELEASES
SEC Charges Promoter for Role in Fictitious Crypto Trading Program (SEC Release)
SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme that Targeted Muslim Community (SEC Release)
SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme (SEC Release)
SEC Orders $2 million and $500,00 Whistleblower Awards to Two Claimants
Order Determining Whistleblower Award Claims
SEC Orders $10 Million Whistleblower Award to Claimant
Order Determining Whistleblower Award Claims
SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of "Say-on-Pay" Votes for Institutional Investment Managers / Rules and form amendments will enhance transparency of fund and institutional investment manager proxy voting records (SEC Release)
Statement on Final Amendments to Form N-PX by SEC Chair Gary Gensler
Statement on Enhanced Reporting of Proxy Votes by SEC Commissioner Caroline A. Crenshaw
Enhancing Fund Voting Reporting by SEC Commissioner Jaime Lizárraga
Voting Obsession: Statement on Final Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers by SEC Commissioner Hester M. Peirce
Statement on the Final Rule: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers by SEC Commissioner Mark T. Uyeda
SEC Proposes Enhancements to Open-End Fund Liquidity Framework
Statement on Open-End Funds by SEC Chair Gary Gensler
Learning from History: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing by SEC Commissioner Caroline A. Crenshaw
Strengthening Open-End Fund Resiliency and Liquidity in Stressed Markets by SEC Commissioner Jaime Lizárraga
Closing Act: Statement on Proposed Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting by SEC Commissioner Hester M. Peirce
Statement on Proposed Rule: Open-End Fund Liquidity Programs and Swing Pricing; Form N-PORT Reporting by SEC Commissioner Mark T. Uyeda
"This Law and Its Effective Administration" Remarks Before the Practising Law Institute's 54th Annual Institute on Securities Regulation by SEC Chair Gary Gensler
CFTC RELEASES
Statement of Commissioner Kristin N. Johnson Regarding CFTC Order Finding That Jeremy Rounsville of Hunt County Texas, Defrauded Customers in Digital Asset Arbitrage Scheme
FINRA RELEASES
FINRA Censures and Fines Vanguard Marketing for Option Exercise After Cut-Off Time
In the Matter of Vanguard Marketing Corporation, Respondent (FINRA AWC)
FINRA Censures and Fines Member Firm for Misrepresentations on Monthly Statements
In the Matter of Wedbush Securities Inc., Respondent (FINRA AWC)
FINRA Fines (but does not Censure) Member Firm for Unreasonable AML Testing
In the Matter of Superior Financial Services, Inc., Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Excessive/Unsuitable Trading
In the Matter of Christopher Alexander Polinaire, Respondent (FINRA AWC)
FINRA Bars Rep Who Believed Transferred Funds Were Proceeds Of Illegal Activities
FINRA Department of Enforcement, Complainant, v. Yoon Sik Chung, Respondent (FINRA Offer of Settlement)
FINRA Censures, Fines, and Orders Restitution for Western International Securities, Inc.'s Non-Traded REITs Supervision
In the Matter of Western International Securities, Inc, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Discretionary Trading
In the Matter of M B Schreiber, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Providing Letters of Credit to Raymond James' Customer
In the Matter of Scott G. Warnock, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for Cutting and Pasting Customer Signatures
In the Matter of Trent J. Davis, Respondent (FINRA AWC)
FINRA Fines and Suspends Rep for OBA
In the Matter of Penny S. Morgan, Respondent (FINRA AWC)
Membership Application Program: Reviewing and Approving Digital Asset Firms (FINRA UnScripted)
