SEC Litigation Releases
- Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancescoby LR-25904Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco
- by LR-25903Joseph M. Dupont et al.
- by LR-25902SAExploration Holdings, Inc., et al.
- by LR-25901Twin Spires Financial LLC, Aaron B. Fletcher, Town of Sterlington, Louisiana, and Vern A. Breland
- by LR-25900Brite Advisors USA, Inc.
FINRA Dispute Resolution Rule Filings
- by SR-FINRA-2018-003Proposed Rule Filing Relating to Simplified Arbitration
- by SR-FINRA-2018-012Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes (“Industry […]
- by SR-FINRA-2017-025Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
- by SR-FINRA-2017-009Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
- by SR-FINRA-2016-033Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
CFTC Enforcement Press Releases
- Binance Former Chief Compliance Officer, Samuel Lim, Agrees to Pay $1.5 Million for Willfully Evading U.S. Law, and Aiding and Abetting the Illegal Operation of a Digital Asset Derivatives Exchange, and Other Violationsby dfaulk-white
- Binance and Its CEO, Changpeng Zhao, Agree to Pay $2.85 Billion for Willfully Evading U.S. Law, Illegally Operating a Digital Asset Derivatives Exchange, and Other Violationsby dfaulk-white
- Federal Court Orders Illinois Man and His Entities to Pay Over $20 Million in Restitution and Penalties for Commodity Pool Ponzi Schemeby aturner
- by dfaulk-white
- Federal Court Orders Former New York City Resident to Pay Over $2.6 Million in Monetary Sanctions for Fraudulent Solicitation and Misappropriation in a Commodity Pool Schemeby aturner
SEC Administrative Proceeding Releases
- by IA-6491Eagan Capital Management, LLC
- by 33-11256Mallinckrodt plc
- by 34-99055Prime Group Holdings, LLC
- by 34-99054Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia
- by 34-99038
FINRA Investor Alert news feeds
- by No matter where you get your trading insights, and whether you are following a recommendation to buy stocks, bonds, options or something else, know this: where there is opportunity, there is also risk. Here are 10 tips.
- by If you view market volatility as an opportunity to purchase more stock at a favorable price, make sure you look beyond the ticker symbol to confirm you are buying the right company. Many companies have similar names.
- by One of the best ways you can protect your investment portfolio is to monitor your holdings and activity. You should make it a habit to review online or paper account statements and trade confirmations on a regular basis. You should review your statement as soon as you receive it to confirm it correctly reflects your […]
- by FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to inform investors about social sentiment investing tools and highlight their risks. This Alert provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in […]
- by FINRA is issuing this alert to inform investors that investments in digital assets, such as ICO tokens and cryptocurrencies, can involve significant uncertainty, as well as risks that are different from more conventional assets like stocks or bonds.