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Crimes

BNP Paribas to Pay $246Mn Over Forex Manipulation

July 17, 2017

Lawsuits/Arbitrations

Sunnier Skies Ahead for RBS: Settles Toxic Mortgage Securities Lawsuit for $5.5Bn

July 12, 2017

Features/Scandals

Estates of Bernie Madoff's Sons to Pay Back $23Mn

June 27, 2017

Regulatory Sanctions

SEC Slams Former ITG Managing Director Over Supervisory Failures

June 22, 2017

People

What's Eating Steven Cohen?

May 31, 2017

Lawsuits/Arbitrations

RBS Settles Investor Lawsuit Pertaining to 2008 Cash Call

May 30, 2017

Regulatory Sanctions

FINRA Suspends Broker Who Got Too Close to Customer

May 21, 2017

Regulatory Sanctions

Cooperman Settles SEC Insider Trading Charges

May 19, 2017

Regulatory Sanctions

SEC v. Cooperman and Omega - A Win-Win Settlement

May 19, 2017

Regulatory Sanctions

Ex-Nomura Head Traders Charged by SEC

May 15, 2017

Regulatory Sanctions

Prop Traders Violate Reg SHO, CEO Violates Annual Certification

April 29, 2017

Regulatory Sanctions

Regulatory Sanctions Quick Takes - 4/18

April 18, 2017

Regulatory Sanctions

WWW: LPL Pays $900K for Missing Customer Mailings

April 18, 2017

Regulatory Sanctions

WWW: Convergex Pays $3Mn for Years of AML Deficiencies

April 10, 2017

Regulatory Sanctions

WWW: Verbal Discretionary Authority Leads to Fine, Suspension, Lost Job

April 10, 2017

Regulatory Sanctions

WWW: B/D's Still Committing Common Email Violations - FINRA

April 6, 2017

Regulatory Sanctions

Credit Suisse and Star Broker to Pay $7.9Mn Over Breached Fiduciary Duty - SEC

April 5, 2017

Regulatory Sanctions

CUSO Supervisor ‘Rubber-Stamped’ Transactions He Didn’t Understand - FINRA

April 4, 2017

Regulatory Sanctions

WWW: Broker Churns IRA Accounts, Aided and Abetted by Firm

April 3, 2017

Regulatory Sanctions

WWW: Administrative Shortcuts Doom Edward Jones Broker - FINRA

April 3, 2017

Regulatory Sanctions

WWW: Retail B/D Pays $300K for Not Updating Forms U4, U5 - FINRA

April 3, 2017

Features/Scandals

Wells Fargo’s $110Mn Class Action Settlement – Does This Sound Cheap?

March 29, 2017

Lawsuits/Arbitrations

JPMorgan to Pay $400Mn to Settle Toxic MBS Litigation

March 29, 2017

Lawsuits/Arbitrations

PwC Settles $3Bn MF Global Malpractice Lawsuit

March 24, 2017

Regulatory Sanctions

UBS Considers Refusing a Justice Department Settlement

March 9, 2017

Regulatory Sanctions

Allstate Financial Services Pays $1Mn to Settle FINRA Charges

March 8, 2017

Lawsuits/Arbitrations

No Whistleblower Award in Moody’s $864Mn Settlement

March 5, 2017

Lawsuits/Arbitrations

Securities America to Pay $1M Over Sales of MedCap Notes

March 5, 2017

Regulatory Sanctions

Purshe Kaplan Sterling to Pay $4.1Mn, Hire Consultant to Settle FINRA Charges

February 22, 2017

Regulatory Sanctions

Wealth Building by Stealing from Your Investors

February 21, 2017

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