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24 May 2019, 9:08 am
Court Enters Final Judgment Against James Alan Craig (SEC Release)https://www.sec.gov/litigation/litreleases/2019/lr24481.htmIn a Complaint filed in the United States District Court for the Northern District of California, the SEC charged James Alan Craig with securities fraud for tweeting false statements about two companies which caused sharp drops in their stock prices and triggered a trading halt in one of them. [read post]
1 Aug 2022, 4:04 am
Equity And Justice Prevail In Breathtaking FINRA Expungement Award (BrokeAndBroker.com Blog)"Boiler Room" Operator Pleads Guilty to International Securities Fraud Conspiracy / Defendant and Co-Conspirators Manipulated the Price and Trading Volume of a Publicly Traded Stock in the United States (DOJ Release)< a href="#dropil">Two Orange County Men Sentenced to Federal Prison for Conning Investors Out of $1.9 Million Through Cryptocurrency Offering (DOJ Release)SEC… [read post]
12 Apr 2019, 5:19 am
Morgan Stanley Supervisor Goofs But Stockbroker Pays the Price (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4541/FINRA-expungement-morgan-stanley/In today's blog, a veteran, female registered representative was terminated by Morgan Stanley for supposedly failing to timely disclose reportable events; and, thereafter, the firm sued her to recover balances due on two promissory notes. [read post]
10 May 2018, 11:55 am
Former Currency Trader Indicted for Participating in Antitrust Conspiracy (DOJ Press Release)https://www.justice.gov/opa/pr/former-currency-trader-indicted-participating-antitrust-conspiracyFormer bank currency trader Akshay Aiyer was indicted in the United States District Court for the Southern District of New York on one count of Conspiracy to Restrain Trade involving efforts to fix prices and rig bids and offers in Central and Eastern European, Middle Eastern, and African (CEEMEA)… [read post]
14 Aug 2020, 5:49 am
BREAKING STORY: Leaders Of 'We Build The Wall' Online Fundraising Campaign Charged With Defrauding Hundreds Of Thousands Of Donors / Brian Kolfage, Stephen Bannon, and Two Others Alleged to Have Funneled Hundreds of Thousands of Dollars From the Organization to Kolfage; All Four Defendants Allegedly Profited From Their Roles in the Scheme (DOJ Release)Six Years And Counting and the SEC Is Still Dicken-ing Around (BrokeAndBroker.com Blog)The Bank of Nova Scotia Agrees to Pay $60.4 Million… [read post]
11 Jul 2018, 4:42 am
In 2010, the Federal Trade Commission had sued Lovisa for deceptive price-promotion mailings and the Court enjoined him from further involvement in same.Separately, Eugene Marotta was charged by Information with one count of conspiracy to commit mail... [read post]
6 Sep 2018, 4:30 am
Managing Director of A Broker-Dealer Pleads Guilty to Participating in a $86 Million Market Manipulation Scheme / Defendant Helped Manipulate the Stock Price of CodeSmart Holdings, Inc. [read post]
30 Jan 2018, 4:56 am
FINRA Stuffs Stifel's Trading Ahead Exemptions http://www.brokeandbroker.com/3803/finra-stifel-trading-ahead/ Few aspects of regulating Wall Street are more fundamental than those requiring that public customers get the best execution for their orders, particularly when the customers' orders and those of their brokerage firm are competing to get filled at the best price. [read post]
14 Feb 2019, 1:47 am
Poarch and his wife opened "The Lazy Lion"marijuana business in Colorado Springs, CO, which operated as a store offering a membership in a private club via a customer agreement, which allowed for members to visit the business and acquire marijuana for a set price. [read post]
18 Feb 2021, 5:14 am
Attorney General James Ends Virtual Currency Trading Platform Bitfinex's Illegal Activities in New York / Bitfinex and Tether Must Submit to Mandatory Reporting on Efforts to Stop New York Trading / Bitfinex and Tether Deceived Clients and Market by Overstating Reserves, Hiding Approximately $850 Million in Losses Around the Globe (NYAG Release)Founder of International Cryptocurrency Companies Indicted in Multi-Million Dollar Securities Fraud Scheme (DOJ Release)One of the Nation’s Largest… [read post]
1 Aug 2022, 4:04 am
Wells Fargo (BrokeAndBroker.com Blog)"Boiler Room" Operator Pleads Guilty to International Securities Fraud Conspiracy / Defendant and Co-Conspirators Manipulated the Price and Trading Volume of a Publicly Traded Stock in the United States (DOJ Release)Two Orange County Men Sentenced to Federal Prison for Conning Investors Out of $1.9 Million Through Cryptocurrency Offering (DOJ Release)Man Sentenced to 21 Months in Prison for Stock Fraud Schemes (DOJ Release)Illinois man admits… [read post]
12 Mar 2018, 3:29 am
DOES 1-100, Defendants (Class Action Complaint, :18-CV-01754, United States District Court for the Northern District of Illinois / March 9, 2018)http://brokeandbroker.com/PDF/AtlanticTradingCmpltNDIL.pdfcites alleged manipulation by traders of the final settlement price of VIX futures and options. [read post]
25 Mar 2022, 12:16 pm
Rowe Price (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6374/ira-estate-arbitration/In a recent federal lawsuit, we got a deceased mother, her two sons, the deceased mom's daughter (which makes her the the two sons' sister -- duh), and we got the daughter's husband, who, as you likely figured out is the deceased mother's son-in-law and, okay, sure, the sons' brother-in-law. [read post]
1 Jun 2020, 2:04 am
Here’s how far hackers are willing to go to steal your stimulus check (CNBC by Darla Mercado)AMC has 'substantial doubt' that it can survive coronavirus outbreak shutdown (CNBC by Sarah Whitten)A Decade’s Worth of Progress for Working Women Evaporated Overnight (Bloomberg Businessweek by Shelly Banjo) Senior Executives at Major Chicken Producers Indicted on Antitrust Charges / First Charges Filed in Ongoing Investigation into Fixing Prices of Broiler Chickens (DOJ… [read post]
9 Apr 2022, 11:14 am
Unhappy Customers Pull Out All the GameStops In FINRA Arbitration Win Against Charles Schwab (BrokeAndBroker.com Blog)For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog)Montgomery County and Florida Women Convicted of Conspiring to Access Company Computers For Money (DOJ Release)SEC Charges Shareholders, Attorney in Penny Stock Fraud Scheme (SEC Release)"Building Upon a Long Tradition" - Remarks before the… [read post]
15 Nov 2019, 2:35 am
featured in today's Securities Industry Commentator:Former Trader for Major Multinational Bank Convicted for Price Fixing and Bid Rigging in FX Market (DOJ Release)Former Beaufort Securities Investment Manager Pleads Guilty to Conspiracies to Commit Securities Fraud and to Defraud the United States by Failing to Comply With Foreign Account Tax Compliance Act (DOJ Release)10 Defendants Charged In Manhattan Federal Court With Running Nationwide Telemarketing Fraud Scheme Targeting The… [read post]
29 Apr 2022, 12:40 pm
FINRA's answer is to resort to an arbitration process that forces the victim to shoulder significant forum fees and legal costs as the price of entry. [read post]
30 Nov 2015, 2:48 am
Then again, there are a lot of morons who rise to managerial ranks and who has not heard the horror stories about over-priced law... [read post]
22 Apr 2022, 3:49 am
In putting a price-tag on his damaged reputation, Claimant asked between $1.5 and $3.6 million in damages. [read post]
7 Nov 2021, 7:09 am
Putting a price-tag on violations of FINRA rules is not regulating. [read post]
