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SEC Obtains Final Judgment Against Defendant for Role in Offering Fraud

SEC Charges Investment Club Manager for Misappropriating Investor Funds

SEC Obtains Asset Freeze and Other Relief, Charges Miami Investment Advisers for Fraudulent Scheme Using Fabricated Audit Reports and Attorney Letters

Defendant, Who Was Arrested and Jailed in a Federal Prison in Puerto Rico, Is Awaiting Transport to NYC On Parallel Criminal Charges

SEC Charges Wisconsin Investment Adviser with Defrauding Senior Clients

Proposed Rule Filing Relating to Simplified Arbitration

Financial 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 […]

Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator

Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration

Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration

Order Establishing a Fair Fund and Transferring Funds to District Court

Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses

Order Appointing Tax Administrator

Order Approving Amended Plan of Distribution

Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Cancelling the Administrator’s Bond, and Terminating the Fair Fund

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.

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.

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 […]

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 […]

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.