SEC Litigation Releases

• Geoffrey Thompson
• William Andrew Stack, Esq.
• Abhi Batra a/k/a Abhimanyu Batra
• Jacob C. Glick
• Michael Sztrom, David Sztrom, and Sztrom Wealth Management, Inc.

FINRA Dispute Resolution Rule Filings

• SR-FINRA-2018-003
• SR-FINRA-2018-012
• SR-FINRA-2017-025
• SR-FINRA-2017-009
• SR-FINRA-2016-033

CFTC Enforcement Press Releases

• Federal Court Orders North Carolina Man to Pay Over $255,000 in Futures and Forex Fraud Scheme
• Wisconsin Court Enters $740,968 Judgement Against Company and its Principal for Registration, Disclosure, and Recordkeeping Violations
• Federal Court Orders Interdealer Broker to Pay $7 Million for Deceptive Trading Practices in the FX Options Markets
• CFTC Participates in Operation Income Illusion to Raise Retail Fraud Awareness
• CFTC Orders Vitol Inc. to Pay $95.7 Million for Corruption-Based Fraud and Attempted Manipulation

SEC Administrative Proceeding Releases

• Dominick & Dominick LLC and Robert X. Reilly
• Reginald Buddy Ringgold, III and Aka Rasool Abdul Rahim El
• Richard Portillo and CIS Marketing, LLC
• Wireline, Inc.
• Wireline, Inc.

FINRA Investor Alert news feeds

• Stock Up on Information Before Buying Stock
• It Pays to Pay Attention to Your Brokerage Account Statements
• Beware of Stock Fraud in the Wake of Hurricanes
• Social Sentiment Investing Tools—Think Twice Before Trading Based on Social Media
• Broker Imposter Scams: Remember To Ask And Check