Search for: "SEC v. Singer"
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7 Jan 2022, 11:54 am
(BrokeAndBroker.com Blog)SEC Obtains Partial Judgment Against Wisconsin Investment Adviser Charged with Defrauding Clients (SEC Release)Former Financial Controller Sentenced to Prison for Embezzling Almost Half a Million Dollars from Family-Owned San Diego Business (DOJ Release)FINRA Arbitration Panel Awards Intellivest Services Damages in Raiding Case Against Growth Capital ServicesIn the Matter of the Arbitration Between Intellivest Securities, Inc., Claimant, v. [read post]
14 May 2021, 4:09 am
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks (BrokeAndBroker.com Blog)SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud (SEC Release)In an Order Determining Whistleblower Award Claims (SEC Order)FINRA Arbitrator Recommends Expungement of Customer Complaint by Non-CustomerIn the Matter of the Arbitration Between Gordon David Wollman, Claimant v. [read post]
25 Jul 2022, 4:10 am
A Personal Message From Stephen Kohn, Candidate for FINRA 2022 Small Firm Governor (BrokeAndBroker.com Blog)<a href="#buyer">SEC Charges Former Indiana Congressman with Insider Trading/ Stephen Buyer allegedly used inside information to buy $1.5 million in stocks (SEC Release)</a>Another SEC Whistleblower Treated Like Crap and Failed by the LawVictor Hong, Petitioner, v. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor… [read post]
5 Jan 2018, 5:59 am
SEC Charges California-Based Attorney with Securities Registration Violations (SEC Litigation Release No. 24024) https://www.sec.gov/litigation/litreleases/2018/lr24024.htm In Securities and Exchange Commission v. [read post]
27 Nov 2017, 4:28 am
SEC: Ramapo, RLDC Consent to Court-Appointed Independent Consultant Among Other Undertakings (SEC Litigation Release 23997)https://www.sec.gov/litigation/litreleases/2017/lr23997.htm Pursuant to a Consent Judgment in Securities and Exchange Commission v. [read post]
15 Nov 2019, 2:35 am
In the Matter of the Arbitration Between Lee Tockman, Claimant, v. [read post]
23 Apr 2021, 3:54 am
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration (BrokeAndBroker.com Blog)SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme (SEC Release)Carthage Man Pleads Guilty to Telemarketing Crimes / International Ring Worked Sophisticated Tech Support Fraud (DOJ Release)FINRA Arbitrator Recommends Expungement of Non-Existent Customer ComplaintIn the Matter of the… [read post]
28 Nov 2022, 3:50 am
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)NOTICE TO CFP® PROFESSIONALS REGARDING FINANCIAL ADVICE ABOUT CRYPTOCURRENCY-RELATED ASSETS Virtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc., Plaintiff, v. [read post]
28 Nov 2022, 3:50 am
Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog) Virtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc., Plaintiff, v. [read post]
29 May 2023, 1:26 pm
Petitioners v. [read post]
11 Dec 2020, 7:08 am
In the Matter of Robinhood Financial, LLC, Respondent (Administrative Complaint, Commonwealth of Massachusetts)A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine (BrokeAndBroker.com Blog)Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges (SEC Release)FINRA Small Firm Advisory Committee: Carrie WisniewskiFINRA Small Firm Member on National Adjudicatory Council: Robert… [read post]
4 Oct 2019, 8:38 am
In the Matter of the Arbitration Between Peter Dizdar, Claimant, v. [read post]
23 Dec 2021, 10:58 am
(BrokeAndBroker.com Blog)SEC Charges Four in Connection with Fraudulent Oil and Gas Offering (SEC Release)Mont Vernon Attorney Convicted of Engaging in Multimillion Dollar Fraud Scheme (DOJ Release)Federal Court Says Raymond James' "Shotgun" Defense MisfiresKimberly Nguyen, Plaintiff, v. [read post]
5 Mar 2021, 9:50 am
Sadur, Claimant, v. [read post]
7 Nov 2022, 2:30 am
V. [read post]
12 Jun 2020, 6:15 am
Robinhood Market Made Bursting Bubbles Wall Street’s Obsession (Bloomberg by Sarah Ponczek and Vildana Hajric)Heartbreaking story of rookie trader who racked up $700K in debt: 'Finance isn’t worth losing your life over' (Marketwatch by Shawn Langlois)Charlotte Man Pleads Guilty To Wire Fraud For Investment Scheme (DOJ Release)Businessman Sentenced to Prison for $1.4 Million Fraud Scheme (DOJ Release)SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million… [read post]
12 Jun 2020, 6:15 am
Marilyn Booker v. [read post]
31 Mar 2021, 9:30 am
The Expungement Was Not Not Warranted But Still Denied (BrokeAndBroker.com Blog)The Schwab v. [read post]
7 Jan 2022, 11:54 am
(BrokeAndBroker.com Blog)SEC Obtains Partial Judgment Against Wisconsin Investment Adviser Charged with Defrauding Clients (SEC Release)FINRA Arbitration Dings Robinhood Over Trading Restrictions on StocksIn the Matter of the Arbitration Between Jose Batista, Claimant, v. [read post]
