TOP STORIES
RECENT
Venezuelan Man Sentenced to Three Years in Prison for Migrant Smuggling Conspiracy
U.S. Attorney’s Office, Eastern District of Pennsylvania PHILADELPHIA – United States Attorney David Metcalf announced that Cesar David Martinez-Gonzalez, 40, a native of Venezuela who had been residing in Chester, Pennsylvania, was sentenced today by United States District Court Judge…
Read MoreBills Moving Through the U.S. Congress
MORE NEWS
INTERESTING FINDS
The Securities and Exchange Commission today charged Wilson Baston with defrauding numerous investors in a Ponzi scheme, in which he raised millions of dollars through…
Los Angeles, CA (Law Firm Newswire) February 17, 2023 – For the first time, Alpha Accident Lawyers is offering a new scholarship program for college…
June 22, 2023 From OSHA: Read More
The Securities and Exchange Commission today charged William K. Ichioka, of New York, New York, with fraudulently raising $25 million from individual investors primarily in…
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot WASHINGTON – FINRA today published the 2023 Industry Snapshot, the…
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision Rules WASHINGTON—FINRA announced today that it has expelled broker-dealer…
Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies WASHINGTON—FINRA’s…
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees WASHINGTON—FINRA’s Board of Governors met…
FINRA, NFA Expand MOU to Include Information Sharing, Collaboration WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to…
Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and…