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List of Firms Using Inaccurate Information 

The SEC maintains a list of unregistered entities that it alleges uses misleading information to solicit non-US investors. It updated…

Victims of $102 Million Ponzi Scheme

The Securities and Exchange Commission filed charges and obtained an asset freeze against the individuals and companies behind a $102…

Merrill Lynch Admits Masking to Defraud Customers

The Securities and Exchange Commission charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about how it handled their…

U.S. Opens Criminal Probe Into Trading in Fannie, Freddie Bonds 

The U.S. has opened a criminal investigation into whether traders manipulated prices in the $550 billion market for unsecured bonds…

Series 7 and Drug Testing

From our old Discussion Forums. Please forgive the formatting, but we needed to repost this discussion because it is popular.…

Whistleblowers Need Lawyers

There have been many developments in securities whistleblower rulings over the years, but none as compelling as Justice Ginsburg's opinion…

UBS Pulls a Fast One on its Own Employees

Only a few months after withdrawing from the Protocol, UBS Financial Services is requiring brokers waiting for their 2017 bonuses to…

Rule 8210 – How You Respond Makes a Difference

For FINRA member firms, and employees of FINRA firms (even those who are not registered) FINRA Rule 8210 (Provision of…

Bitcoin Fraud On the Rise

Proponents of the varied cryptocurrencies believe that buying these "coins" will make them millionaires. For some, it is hard to…

State-level fines and penalties hit 5-year high

The SEC has begun to work with the Department of Labor on a fiduciary rule proposal to harmonize the standards…