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James Robertson to Lead BNY Mellon Wealth Management in New Jersey
BNY Mellon Wealth Management has promoted a company veteran to the position of market leader for the firm's New Jersey region. James Robertson will develop and execute the wealth manager's overall strategy in New Jersey, which is the fifth largest...

SEC Charges Penny Stock Company CEO and Purported Business Partner for Defrauding Investors With False Press Releases
The SEC charged a serial con artist and a penny stock company CEO with misleading investors in a supposed vaccine development company by issuing false press releases portraying it as a successful venture when it was in fact a failing enterprise....

SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases
The SEC charged a partner at a New York-based investor relations firm with insider trading on confidential information he learned about two clients while he helped prepare their press releases.  The SEC alleges that the partner sold his...

FINRA Announces Arbitration Task Force
FINRA announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA's securities arbitration forum for all...

Citigroup 7 Billion Dollar Mortgage Backed Securities Settlement
Citigroup Inc. (C) agreed to pay $7 billion in fines and consumer relief to resolve government claims that it misled investors about the quality of mortgage-backed bonds sold before the 2008 financial crisis. The bank took a $3.7 billion charge in...

Jennifer Pacella: Bounties for Bad Behavior: Rewarding Culpable Whistleblowers under the Dodd-Frank Act and Internal Revenue Code
Abstract:       In 2012, Bradley Birkenfeld received a $104 million reward or “bounty” from the Internal Revenue Service (“IRS”) for blowing the whistle on his employer, UBS, which facilitated a major offshore tax fraud scheme by assisting...

$3 Million Dollar Morgan Stanley Team joins Steward Partners
The move from wirehouses to independent firmst continues as advisers seek better service for their clients and more freedom for themselves. Steward Partners Global Advisory LLC, an employee-owned, full service independent partnership, announced...

California School District Charged with Securites Fraud
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Taking Section 10(b) Seriously: Criminal Enforcement of SEC Rules - Steven Thel
Professor Thel argues that the Supreme Court has been misreading Section 10(b) of the Exchange Act, and argues that the section does not prohibit anything, and it neither grants the SEC rulemaking power nor limits the rulemaking power granted to...

Forced Annuitization Harms Elderly Investors
One of our advisory clients came to us with a new problem - the forced annuitization of a variable annuity. The problem - forced annuitization cancels the death benefit on the policy. With some of these older policies being under water,...

 

SEC Litigation Releases:

International Stock Transfer Inc and Cecil Frederick Speight
SEC Charges Florida-Based Transfer Agent and Owner with Scheming Investors

Kevin McGrath
On July 22, 2014, the Securities and Exchange Commission Charged a Partner At a New York-Based In...

Cedric Canas Maillard, et al.
Spanish Trader Agrees to Pay Disgorgement and a Penalty to Settle Insider Trading Case

Christopher Plummer, Lex M. Cowsert, and CytoGenix, Inc.
The Securities and Exchange Commission Today Charged a Serial Con Artist and a Penny Stock Compan...

Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro
The Securities and Exchange Commission Today Charged Individuals Who Pocketed Millions of Dollars...

Patrick G. Rooney and Solaris Management, LLC
SEC Obtains an Officer and Director Bar and Over $1.5 Million in Disgorgement and Penalties from ...

Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs (Defendants), Bernard H. Butts, Jr. PA, Butts Holding Corporation,
Florida-Based Attorney Ordered to Pay Nearly $4 Million in Court Judgment of Prime Bank Investmen...

Robert G. Pearson and Illinois Stock Transfer Company (d/b/a/ ist Shareholder Services)
Court Enters Permanent Injunction Against Owner of Illinois-Based Transfer Agent

Tyson D. Williams and Stanley D. Parrish
SEC Charges Tyson D. Williams and Stanley D. Parrish with Violations of the Federal Securities Laws

Michael Affa, Andrew Affa, Mitchell Brown, Christopher Putnam, and Christopher Nix
Sec, Massachusetts U.S. Attorney, and Fbi Charge Five with Attempted Manipulation of Microcap Com...

News Stories:
UPDATE 1-U.S. FCC approves Sinclair's TV deal with Allbritton
WASHINGTON, July 24 (Reuters) - The U.S. Federal Communications Commission on Thursday approved t...

Senior U.S. lawmaker: Myanmar must reform before more sanctions easing
WASHINGTON, July 24 (Reuters) - Jade and rubies from Myanmar will remain banned from the United S...

U.S. judge says she is troubled by Apple $450 million e-books deal
NEW YORK, July 24 (Reuters) - A U.S. judge on Thursday expressed concern over a proposed $450 mil...

UPDATE 1-Lloyds fine in LIBOR rigging probe to be announced next week -sources
July 24 (Reuters) - The long-awaited fine on Britain's Lloyds Banking Group in relation to the be...

UPDATE 2-Google under fire from regulators on EU privacy ruling
* Google's handling of removal requests has drawn criticism

U.S. FCC approves Sinclair's TV stations deal with Allbritton
WASHINGTON, July 24 (Reuters) - The U.S. Federal Communications Commission on Thursday approved t...

U.S. labor agency approves 'micro-unit' in Macy's bargaining case
WASHINGTON, July 24 (Reuters) - The U.S. National Labor Relations Board (NLRB) said this week tha...

UPDATE 2-Russia says U.S. sanctions break WTO rules, may cause trade dispute
GENEVA, July 24 (Reuters) - The latest U.S. sanctions against Russia violate World Trade Organiza...

UPDATE 1-Obama presses to end corporate trick for evading taxes
LOS ANGELES, July 24 (Reuters) - U.S. President Barack Obama on Thursday hammered U.S. companies ...

UPDATE 1-U.S. judge won't void five ex-Madoff employees' convictions
(Adds details from decision, comments, case citation, byline)


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