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Phil Mickelson Being Investigated For Possible Insider Trading

June 3 2014

Golfer Phil Mickelson and Las Vegas gambler Billy Walters made several million dollars in 2011 trading […]

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SEC Loses In High Profile Trial

June 2 2014

Earlier this month, the SEC secured a huge win in SEC v. Wily, but on the […]

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SEC Brings Suit Against Unregistered Broker Dealer

May 30 2014

On May 15, the SEC filed a complaint against Behrooz Sarafraz in California federal court, alleging […]

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SEC Denies Enforcement Action For Failure To Timely File Claim

May 28 2014

The SEC recently denied a whistleblower claimant a Commission enforcement action award because the claimant did […]

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Oil And Gas Firm Merger Hampered By Class Claims And Conflicted Financial Advisers

May 27 2014

Plaintiffs in a new class-action suit claim that the financial advisers hired to oversee a proposed […]

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Michael Steinberg Sentenced To 3.5 Years For Insider Trading

May 23 2014

A Manhattan federal judge recently sentenced Michael Steinberg to 3.5 years in prison, three years of […]

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SEC Warns About Marijuana Related Investments

May 22 2014

The SEC issued an investor alert warning potential investors of possible scams pertaining to marijuana-related investments, […]

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SEC Warns About Investing In Bitcoin

May 21 2014

Bitcoin is in the news again as the SEC issued an Investor Alert earlier this month […]

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FINRA Fines Morgan Stanley Smith Barney LLC

May 20 2014

FINRA announced recently that it fined Morgan Stanley Smith Barney LLC $5 million for supervisory failures […]

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New FINRA Rule Aimed At Limiting Self-Trading

May 16 2014

FINRA announced recently that the SEC has approved a rule change designed to limit self-trading. FINRA […]

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Wylys Used Offshore Trusts To Conceal Trades

May 14 2014

This week a jury found that the Wyly brothers, Samuel and Charles, utilized a network of […]

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Oppenheimer Conceals Evidence In Fraud Case

May 7 2014

A couple from Long Island who lost over $5 million in a scheme perpetrated by Mark […]

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FINRA Leaves Two Dead Arbitrators On List

May 6 2014

A couple in Wichita have been left wondering who the industry funded Financial Industry Regulatory Authority […]

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Reef Oil & Gas Investment Products Being Investigated

April 30 2014

Reef Oil & Gas Income and Development Fund III, L.P. is currently under investigation for selling […]

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ICON Leasing Funds Being Investigated

April 28 2014

ICON Leasing Funds are currently being investigated as broker-dealers may have sold funds without performing adequate […]

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