Yet Another Delay For The Universal Fiduciary Standard

FINRA Panels Fails To Take Control Of Attorney

UBS Lets Rogue Trader Cost Firm $2.3 Billion

SEC Announces Charges For Insider Trading On Biotech Takeovers

Regions Has Not Yet Found A Suitor For Morgan Keegan

SEC Continues To Investigate CDO Deals

FINRA Catches Firms Charging Excessive "Handling Fees"

Seattle Firm Charged With Fraud By SEC

Senior Citizens With Alzheimer's Are Targets For Elder Abuse

Another Independent B-D Is Shuttered

Phoenix Panel Orders Morgan Keegan To Pay In Bond Fund Case

Deaf Community Targeted In TEP Scam

Oppenheimer Is Hit With A $1.1M Award In Denver

A Good Deal That Went Bad

Goldman Settles With NY Regulator And Agrees To Put A Halt To "Robo-Signing"

FHFC Is Targeting Major Banks For MBS Deals

FINRA Panel Says Wedbush Broker's Conduct

Charles Schwab Says Banks Manipulated Libor

SEC Charges Pair With Running A $22M Ponzi Scheme

Survey Results Reveals Investor Sentiment

SEC Files Fraud Charges Against Stifel Nicolaus For Defrauding Wisconsin School Districts

Sale Of Private Placements Claims Another Independent B-D

Wells Fargo And KPMG Agree To Pay $627M To Settle Claims By Pension Funds

National Credit Union Administration (NCUA) Sues Goldman For Sales Of MBS Causing Credit Unions To Fail

Citigroup Is Fined $500K For Failing To Supervise Former Broker Who Stole $800K From Clients

$10 Billion Suit By AIG Adds To Bank Of America’s Woes

Former Brigham Young Star And Atlanta Falcon’s Quarterback Is Caught In Ponzi Scheme Targeting Athletes

Cheyne Finance, Capmark VI CDO And Stack 2006-1 CDO MBS Deals Cause Morgan Stanley To Forecast $1.7 Billion In Losses

Judge Tells Defendants In Fraud Scheme "The Damage You Wrought Was Absolutely Hideous"

Wells Fargo $85M Fine Is Largest Ever By The Fed

Wall Street Firms Are Continuing To “Robo-Sign” Documents

Neuberger Is Slammed With A $5.5M Arbitration Award

FINRA Says Former Next Rep Took Advantage Of Elderly Clients

Claimants Win Schwab Yieldplus Fund Arbitration Claim

Bank Of America's Tab May Be $27.5B Vs. $8.5B

Athletics Benefactor And Financial Planner Found Dead After Ponzi Scheme Allegations Surface

Massachusetts Files Suit Against RBC Capital Markets

Credit Unions Sue JPM & RBS For Securitized Bond Losses

Apple Reit Underwriter Sued For $6.8 Billion

SEC Reaches A $153.6 Million Settlement With JP Morgan On Allegations That It Misled Investors

Former Robert Baird Broker Continues To Opera Despite Being Barred By FINRA

Morgan Keegan Pays $210M To Settle Toxic Proprietary Fund Charges And Is Put Up For Sale By Parent

Investors Confused About Standard Of Care Owed According To J.D. Power Survey

SEC Says Stanford Investors Are Entitled To SIPA Protection

Complex Structured Products "Absurdly Destructive" To Retail Investors

Bank Of America "Significantly Hindered" Federal Investigation of Lending And Foreclosure Practices

SEC And Finra Are Not On Same Page Regarding Private Placement Offerings

Indianapolis Panel Orders Merril Lynch To Pay $2.5 Million To Investor

Bank Of America, Morgan Stanley And Goldman Sachs Continue To Be Scrutinized Over Securitization Of Loans

Federal Subpoenas On The Way To Goldman Sachs For Internal Documents Relating To Mortgage Practice

FINRA Fines Nuveen Investments $3M For Misleading Marketing Materials For ARPS

Goldman Sachs Reaches A Deal With New Jersey For $26.5M

Atlanta Panel Says Merril Owes Elderly Couple $520,283

Elderly Couple In Dallas Receives $1.5M Award Against Raymond James

$132,000 Award In DBSI 2008 Reg D Case

Investors Can Now Access FINRA Disciplinary Actions

Jury Finds Rajaratnam Guilty On All Counts

Raymond James May Have To Pay $50 Million For Auction Rate Securities (ARS)

Wells Fargo Subsidiary Is On The Market

Sir Allen Stanford To Go To Trial In September 2011

1,000% Guaranteed Private Placement Offerings Generates A Wells Notice By Texas Regulators

SEC Says Life Settlements Broker Misrepresented Life Expectancies

Federal Home Loan Bank Sues Citigroup And Bank Of America Over Misstatements And Omissions Regarding MBS

Lawsuit Against Largest Wall Street Banks Alleges Collusive And Predatory Practices

Poll Reveals Wall Street Is Unpopular With American Public

SEC Attorney Sued For Illicit Profits Rejoins Old Firm

Report: 47% Increase Of Securities Lawsuits In First Quarter Of 2011

UBS Settles Bid Rigging Scheme With SEC For $160M

JPM Hopes To Resolve Collateralized Debt Obligation (CDO) Probe

Mortgage Backed Securities (MBS) Continue To Haunt Major Banks

Major Wall Street Firms Allegedly Aided AIG In Fraudulent Scheme To Secure $137 Billion In Bailout Money

Another Independent Broker Dealer May Go Out Of Business

Lehman Brothers Claims Haunts JP Morgan Chase

SEC Says Financial Exploitation Of Elderly Is Increasing

Another Win For Claimants Against Morgan Keegan

Bank Of America All Alone At The Top In The MBS Put Back Mess

Ameriprise Is Putting Securities America Up For Sale

CAP West Announces Financial Struggles

A.G. Edwards Hit For Taking Advantage Of Elderly

Morgan Stanley Has To Repurchase $323M ARS

Elderly Investors Promised 9% To 12.5% In $7.7M Ponzi Scheme

A Reg D Crackdown By FINRA

Defunct Gunnallen Executives Settle With SEC For $55K

Critics Say SEC Is Not Tough Enough On Lawbreakers

Ameriprise Is Too Big To Let Securities America Fail

Wachovia Hit With Civil Charges For Excessive Markups Of CDOs

Goldman's Can't Shake Abacus Problems

Illiquid Non-Traded Reit Peddlers Get FINRA's Attention

Regulation S-P Violation By Gunnallen Is A First For SEC

FINRA Continues To Target Sellers Of Private Placements

Corporate Attorney With Prestigious NY & DC Firms Involved In $32 Million Insider Trading Scheme Over 17 Years

SEC Says Indian Computer Services Firm Overstated Income By More Than $1 Billion Aided By Auditors

New FINRA Discovery Guide To Be Published In Federal Registry

Lastest FINRA Statistics Are Favorable For Investors

Settlement Possible In Securities America Case

Decision On Fiduciary Duty Rule Is Pushed Back

Puntive Damages Awarded Against Morgan Keegan

Wedbush Securities Hammered For $233,000

Were The Losses To Investors Caused By SEC Negligence?

Credit Unions Stepping Up Against Major Banks

SEC Charges FDA Employee Who Traded On Upcoming Announcements Of Drug Approvals

Complex Structured Products Still The Focus Of FINRA

Securities America Ups The Ante In Its Private Placement Case

Gullible Hedge Fund Managers Suckered In $47M Utah Ponzi Scheme

Goldman Sachs Joins Others In $5M Settlement With Colorado

$19 Billion Paid By MBIA To Settle Toxic Debt Guarantees

Morgan Keegan FINRA Awards Total $24 Million

Massive Decrease In Capital Tied To Private Placements

Goldman Board Member Charge With Passing Inside Information

Study Shows Increase In FINRA Disciplinary Actions

Investor Claims For Troubled Mortgages And Foreclosures Could Cost Largest U.S. Banks Billions

HSBC North America Warns Of Fines Related To Foreclosures

U.S. Banks Are Under The Microscope By SEC For Applying Window Dressing To Troubled Loans

Clear And Convincing Evidence Costs Morgan Keegan $270,000

Securities America Garners A Big Win In Private Placement Case

Brokers Appear To Be Ready To Push Investors Back In Market

Consumer Trust In The Financial Industry Is Not Good

SEC Lawyer Is Said To Have Profitted From Madoff Scheme

FINRA Notifies E*Trade Of Intention Pursue Action For Sale Of Auction Rate Securities (ARS)

Always Remember - Little If Any Losses Occur If A Portfolio Is Properly Invested

Another Ponzi Scheme Promising 30% Returns

Private Placements Continue To Haunt Independents

IndyMac Bancopr Charged With Fraud By SEC

JP Morgan Sued By Allstate Over Mortgage Backed Securities (MBS)

New Jersey Bond Rating Lowered To Tie AZ, KY, LA and MI

Madoff Trustee Hated By Some And Loved By Others

FINRA Fines Lincoln Financial For "Data Vulnerabilities"

National Securities Notified Of Possible Enforcement Action Related To Private Placements

Morgan Keegan Continues To Lose In Arbitration

Indicted Financier Files $7.2 Billion Suit Against Feds

Madoff Trustee Says Mets Owe $1 Billion

Leading Seller Of Medical Captal / Provident Royalities Shut Down

Citigroup Hammered With $6.4 Million Award

Insider Trading Message: "Shred As Much As You Can"

UBS Resolvers ARS Dispute With New Jersey For $1.5 Billion

Nation's Largest Pension Fund Sues Lehman For Fraud

Forex Fraud Alleged By Arkansas Pension Fund

Trustee Says JP Morgan "Aided And Abetted" Madoff Fraud

TD Ameritrade Settles With SEC For $10 Million

Investors Have The Choice Of An All Public Panel

Accredited Investor Requirement No Longer Includes Home Value

Morgan Keegan Continues To Lose Bond Fund Cases

Commission Says Merrill Hid $30.4 Billion In CDO

Trustee Claims JP Morgan Knew Madoff Was Engaging In Fraud

Heightened Scrutiny Of Muni-Bond Market By SEC

Creditors Stand To Get Only 5% Of What They Are Owed

Chicago And Los Angeles Mayors Predict Defaults

$1.6 Million Award Accompanied By An Explained Decision

CFTC Announces Charges In $14 Million Commodity Pool Scheme

Municipal Bankruptcies Threaten The $3 Trillion Muni-Bond Market

Threats To SEC, CFTC And FINRA Officials Leads To CEO Arrest

Financial Crisis Commission Says Meltdown Was Avoidable

Success Rate Against UBS Is 87% For Sale Of Lehman Notes

Medical Provider Funding Corporation VI (“MP6”) Claimant Awarded $752,000

SEC Charges Merrill Lynch With Securities Fraud

Countrywide Lawsuit Alleges Massive Fraud By Firm

Greensboro Firm Charged With $65 Million Fraud on Pension Funds, School Endowments, Hospitals and Non-Profits

Goldman’s Abacus Collateralized Debt Obligation Suit

Managers of Tax Free Fund for Utah (Tffu) Charged With Fraud

Another Independent Broker-Dealer Taken Down by Private Placements

Allstate Seeks $700 Million For MBS Losses

Florida Reaches $25 Million Settlement With J.P. Morgan

UBS Hit For $2.2 Million In Another Lehman Case

Bonus Money Paid For Selling Mortgage Backed Securities (MBS)

Evergreen Ultra Short Opportunities Fund (EUBAX, EUBBX, EUBCX & EUBIX)

Ernst & Young Faces Fraud Charges

Los Angeles Panel Orders Citigroup Markets To Pay $348,643 In An ASTA Five Case

Oppenheimer Ordered To Buy Back $650,000 Auction Rate Securities

Schwab Yieldplus Fund Opt Out Deadline Nears

Non-Traded Reits

Major Banks Trying To Settle Sec Charges Relating To Mortgage Backed Securities (Mbs) And Collateralized Debt Obligations (CDO)

Deloitte Partner And Wife Hit With Insider Trading Charges

Municipal Arbitrage Loss Costs Citigroup $2.4 Million

Citigroup Ordered To Pay Charity Again

Moody’s Continues To Downgrade Residential Mortgage Backed Securities (RMBS) Due To Low Home Prices And High Unemployment

Morgan Keegan Loses Big In Another Bond Fund Case

Mortgage Backed Securities (Mbs) Repurchases May Cost $106 Billion

Insider Trading Investigation Targets Three Hedge Funds

SEC Investigating Citigroup’s Collateralized Debt Obligation (Cd0)

$869 Million Settlement Between Hawaii & Citigroup In Auction Rate Securities (ARS) Case

Deposition Testimony Reveals Countrywide’s Mortgage Mess

UBS Sued For $2 Billion For Part In Madoff Ponzi Scheme

Make Sure You Really Know What Your Broker’s Designations Mean

Morgan Keegan Loses Bond Fund Case Where The Investors Did Their Own Research And Purchased Funds Through On-Line Firm

Will Ferrell Loses $18 Million Arbitration Claim

Enhanced Yield Reverse Exchangeable Securities With Contingent Downside Protection

Another Big Auction Rate Securities (ARS) Award

NYC Pension Plan Comptroller Requests Major Lenders To Review Lending And Floreclosure Procedures

Two Madoff Employees Charged With Fradu

Institutional Investors Attempt To Force Banks To Buy Back Mortgages And Mortgage Backed Securities (MBS)

Wall Street Pockets $4 Billion On Interest Rate Swaps

Oppenheimer Champion Income Funds Lost Nearly 80% In 2008

Citigroup Enters Into $95.5 Million Agreement To Repurchase Auction Rate Securities (Ars) In Landamerica Bankruptcy Case

Oppenheimer Ca Municipal Funds Were Down 41% In 2008

Goldman Sachs Fined $650,000

Ubs Fined $6.6 Million For Ars Marketing

Regions Financial Corporation's (RF) Arrogance

UBS Ordered To Pay $529,688 In Lehman Structured Notes Case

Ferris, Baker Watts Ordered To Pay $690,000 For Inadequate Supervision & Restitution For Reverse Convertible Notes (Revcons)

Could Bonds Be The Next Bubble?

SEC Files Fraud Charges Against Medical Capital Holdings & Provident Royalities, LLC

Government Employees Conned Into Investment That Never Existed

New York Pension Fund Consultant Pleads Guilty

Hedge Fund Founder Sentenced To 14 Years In Prison

Alabama Securities Commission Continues To Investigate Morgan Keegan

Another Week, Another Hedge Fund Brought Down

FINRA Investigates Marketing Of Non-Traded REITs

FINRA Regulatory Notice: Commodity Futures Linked Securities

Lack Of Supervision Results In Larger Arbitration Awards

Countrywide Executive Settles With The Sec For $67.5 Million

SEC Investigating Complex Structured Note

Mammoth Award Addresses Citigroup's Failure To Supervise

October 19thTwenty Three Years Ago

FINRA Fines Ferris, Baker Watts Nearly $700,000 For Inappropriate Sales Of Reverse Convertible Notes

Rmk Bond Fund Investors Awarded $9.2 Million Against Morgan Keegan In Houston, Tx Arbitration Case

Citigroup Hit With $12 Million Award By Actor Larry Hagman

A Fiduciary Standard For All Who Render Investment Advice

$397,034 Compensatory Damages Plus Punitive Damages Awarded

Wall Street Knew 28% Of Loans That Went Into Mortgage Backed Securities (MBS) Failed To Meet Basic Underwriting Standards

FINRA Proposing To Give Investors The Option To Have Case Heard By All Public Arbitrators

Subprime Mortgage Crisis Hits Credit Unions

UBS Financial Services Hit Hard In Auction Rate Securities (ARS) Case

SEC Reacts In Hopes Of Preventing Another Lehman Catastrophe

Morgan Keegan Fraud Woes Continue

Firms Must Elaborate On Why Their Financial Adviser Was Terminated

FINRA Increases The Number Of Arbitrator For Panel Selection

Securities fraud case studies

How Wall Street Sweeps the Cash - January, 2007

Morgan Stanley Fined Over $1 Million for Failure to Supervise - October, 2006

$22 Million in Sanctions Levied Against Risk Capital Group and Five Brokers for Commodities Fraud - September, 2006

Prudential Enters into $600 Million Settlement for Market Timing - September, 2006

Eight Former Employees of Hampton Porter Indicted for Securities Fraud - June, 2006

Revenge of the Investors - May, 2006

Salomon Grey Financial Expelled by NASD - May, 2006

N.Y. Files Suit Against H&R Block for Sales of Unsuitable Retirement Accounts - March, 2006

David A. Noyes & Co. Pay $550K to Settle Variable Annuities Case - January, 2006

Waddell & Reed agrees to $11 million settlement in Annuities Switching Case - January, 2006

NASD Fines Merrill Lynch, Wells Fargo, and Linsco Over Mutal Fund Sales - December, 2005

SEC Settles Securities Fraud Charges Against Former Banc of America Broker - October, 2005

NASD Orders Morgan Stanley to Pay $6.1 Million For Fees-Based Account Violations - August, 2005

NASD Fines Hornor, Townsend and Kent for Improper Sales Contests, Email and Supervision Violations - July, 2005

USA's Biggest Seller of Variable Annuities Subpoenaed - June, 2005

Firms Aggressively Market Annuities to Seniors - May, 2005

Morgan Stanley Hit With Class Action Alleging Discovery Improprieties - May, 2005

15 Specialists from Big Board Are Indicted - April, 2005

Two Top Morgan Stanley Bankers Resign - April, 2005

Investors File Suit Against A.G. Edwards - April, 2005

NASD Rethinking Scope of Sales Contests Policy - March, 2005

NYSE Fines Merrill Lynch $13.5 Million - March, 2005

NYSE Disciplines Salomon Smith Barney for Supervisory Failures - March, 2005

President Bush's Uncle Loses Securities Arbitration Case - March, 2005

Jesup & Lamont: NASD Fines, Suspends Analyst - Feb, 2005

Details of stock research settlement outlined - Feb, 2005

Morgan Stanley Subpoenaed Over Annuity Sales - Jan, 2005

Edward Jones Details Payments by 7 Mutual Fund Companies - Jan, 2005

Securities and Exchange Commission is conducting an industrywide inquiry into conflicts of interest among consultants who advise pension funds Dec, 2004

Unit of H&R Block Is Accused of Fraud Nov, 2004

Five execs convicted in Enron barge case Nov, 2004

Regulators Charge Brokerage Firm Raymond James with Fraud Sept, 2004

Charles Schwab to pay $350K fine in mutual fund matter Sept, 2004

Research Settlement Completed: 2 More Banks Agree To Pay $100 Million Aug, 2004

Ameriprise to Pay $22 Million in Annuities Arbitration Case

Ameriprise to Pay $22 Million (Part 2)

NASD Variable Anuities

NASD Variable Anuities - 2

NASD Variable Anuities - 3

Credit Suisse First Boston Lawsuits

Fines, Findings May Bring IPO Case To A Head

Invesco Lawsuits

The WorldCom Settlement: What it Means for You

Futures Fraud

Commodity Pool Fraud

Credit Suisse First Boston under fire for conflict of interest, misleading clients.

Four Investment Banks to Pay $100.3 Million to Settle WorldCom Suit

Securities and Exchange Commission (SEC)

Financial Industry Regulatory Authority (FINRA)

Why Securities Regulators Can't Help Defrauded Investors

10 Wall St. Firms Settle With U.S. in Analyst Inquiry

Prudential Enters into $600 Million Settlement for Market Timing Practices (Part 2)

Citigroup in $2.65 Billion WorldCom Settlement

Citigroup Defendants To Pay $2.65 Billion In Settlement Of All Claims Against Them In Worldcom Securities Class Action

Check Is Not In The Mail in WorldCom Settlement

Salomon Smith Barney Disciplined for Supervisory Failures Relating to Electronic Communications

Commodities Fraud

Spitzer Fines Morgan Stanley for Failure to Supervise

Real Estate Investment Trusts (Reit)

High Yield Bonds

McLeod Agrees to Pay $4.4M in IPO Spinning Case

Bond arbitration cases boom; More cases expected as interest rates rise

Baltimore Panel Awards Retired Pilot $2.7 Million

Case Against Justice Department & Sec Dismissed By Houston Judge

Will Ameriprise Step Up To The Plate To Save Securities America?

Morgan Stanley To Drop Smith Barney Name

Sentinel Securities Broker Causes 9/11 Widow To Lose Over 50% Of Her Settlement For The Loss Of Her Husband

The Stars Are Aligned For Crooks And Schemers

Lennar Insider Trader Is A Convicted Con Man, Preacher And Anti-Fraud Crusader

Family Trust Recovers $2.4M From Citigroup

Owners Of Houston Rockets And Memphis Grizzlies Named In Suit Filed By Allen Stanford Receiver

U.S. Senate Says Goldman Sachs Placed Own Needs Ahead Of Clients

Mastermind Of $3 Billion Fraud Found Guilty On All Counts

Mortgage Banker Admits To Role In $32.2 Million Insider Trading Scheme With Corporate Attorney And Trader

Actor Larry Hagman Ends Up Settling With Citigroup

Nelsonreid, Inc Ordered To Pay Investor $110,000

Atlanta Federal Judges Sides With JP Turner In A Rare Decision

Northern Trust Nailed For Failing To Monitor 43% Of Their Business

Independent Bd’s Sued By Bny And Wells Fargo

Merrill And Credit Suisse Are Fined $7.5M For Misrepresenting Delinquincy Data

Nasdaq Official Pleads Guilty To Insider Trading

Whistleblowers Can Now Go Straight To The Sec

Morgan Keegan Loses Another Rmk Select High Income Fund Case

Us Airways Wins $15 Million Ars Case In New York

Finra Chairman Issues Warning To Bd’s About Complex Products And Excessive Fees

Knights Of Columbus Files Suit Against Bank Of New York Mellon

Claim That Oppenheimer Fund Documents Were Misleading Is Settled For $100 Million

Securities Network Joins A Long List Of Firms Shuttered By Private Placements That Went Bust

Mortgage Securitization Probe Widens To Add Jp Morgan, Ubs & Deutsche Bank

Securities America Cuts A Deal For Massachusetts Medcap Investors

Bank Of America Unit Accused Of Illegal Foreclosures

Institutional Investors Lose $1 Billion In Fraudulent Scheme

$1 Billion Ponzi Scheme Mastermind Gets 20 Years

Family Partnership Wins $500,000 Award In Houston, Tx

U.S. Government Sues Morgan Stanley For Risky Investments

Former Nasdaq Employee Who Pled Guilty To Insider Trading Had A History Of Drug Abuse

Investors Prefer Commissions Over Fees

$400 Million Award Against Credit Suisse Affirmed By Second Circuit

Former Bank Manager Ends Up In Prison After Living Well On The $14 Million She Stole From Clients

Regulators In Illinois Shut Down Firm For Preying On Elderly

Sophisticated Investors Are Not Immune To Being Defrauded

Ubs Is Ordered To Pay Investor $2 Million In Damages

Pacific West Is Slapped With A $300,000 Award Plus Punitive Damages And Sanctions For Discovery Abuse

Bank Of America Agrees To A $8.5B Settlement For MBS Claims

Morgan Keegan On The Sales Block

“The Ultimate Inside Job” Takes $19 Million

SEC And FINRA Are Focusing On Non-Traded REITs

Massive Award Entered Against Merrill Lynch Professional Clearing

FINRA Chairman Wants To Get Away From Providing Investors Too Much Information

FINRA Panel Orders Merrill To Pay $880,000

Merrill Lynch MBS Class Is Certified

Royal Alliance Is Nailed For The Fraud Of Its Broker

Madoff Trustee Now Wants $19B From JP Morgan For Enabling The Madoff Ponzi Scheme

$1 Billion Suit Filed Against Deutsche Bank For MBS Fraud

Biotech Wins $1.78M Case Against Nevwest Securities

Goldman Sachs Is Said To Have Misled Insurance Companies In Their Purchase Of Freddie Mac Preferred Stock

JP Morgan Reaches $228M Settlement In BID Rigging Conspiracy

Raymond James Pays Nearly $300,000 To Settle ARS Claims

Unsealed Whistleblower Case Reveals Unlawful Conduct

Wedbush Securities Is Scolded In A $3.5M FINRA Award

Wells Fargo Pays $125M To Settle MBS Claims Of Pension Funds

Beleaguered Jefferson County Alabama Hires Bankruptcy Attorney

FINRA Fines Suntrust $5M For ARS Violations

SEC Brief Sides With ARS Investors Against Merrill Lynch

Raymond James Files To Set Aside $1.7M Arbitration Award

Department Of Justice Targets Wells Fargo For Inappropriately Steering African Americans Into High Cost Subprime Loans

Claimants Awarded $291K Against Merrill Lynch

$100M Deal Struck In Denver On Oppenheimer Funds Case

Georgia Focuses On Sales Of Reverse Convertibles By Morgan Stanley, Ubs Ag & Ameriprise

Florida FINRA Panel Orders Merrill To Pay $8.1 Million

NCUA Says Sales Of MBS By RBS Securities Led To Failure Of Credit Union

FINRA Warns Investors About Chasing Returns By Going Into Complex Investment Products

SEC Report Reveals B-Ds Wrongfully Steered Investors Into Complex Structured Products

Ex-Citigroup Broker To Wealthy Mexicans Is Barred From The Securities Industry

Wells Fargo Is Said To Be Violating Rights Of Heirs In Foreclosure Process

Tenacious Trustee Cuts A $1B Deal With Tremont Group

Oppenheimer Funds Opt Out Date Is August 31, 2011

“Reg-D” Offering Haunts Commonwealth & LPL Financial

Another Big Loss For Morgan Keegan

SEC Settles With Philadelphia RIA For $11 Million

FINRA Panel Enters $940,000 Award Against Capwest

Paying Her Bills With Customer Money Gets Former UBS Broker Banned By FINRA

Ladenburg Thalman To Buy Securities America

Former Credit Suisse Broker Accused Of Ars Fraud Goes To Jail

Allstate Insurance Files Suit Against Goldman For MBS Fraud

Former Frontpoint Manager Used Inside Information To Save Firm From Losing $30 Million

Credit Rating Firms Are Targeted For Role In MBS Debacle

Merrill Hit For Negligent Supervision While Ponzi Scheme Ran For Nearly A Year In Branch Office

Morgan Keegan Loses Another Rmk Fund Case

FHFA Report Reveals Improper Foreclosures Were Known In 2003

SEC Goes After Firms For Negligence To Catch More Wrongdoers

Midway Manager Hit With Running Commodities Scam

Raymond James Has To Pay $1.69M In Restitution And Fines Of $425K

Basketball Player Caught Operating Ponzi Scheme

Former Top Dog At Finra Goes With LPL Financial

Frequency Of "Selling Away" Increases In Bad Market

New Jersey Regulators Come To Terms With Wachovia And Raymond James Over Ars Allegations

75 Year Old Ponzi Schemer Who Helped Destroy Gunnallen Is Sentenced To 16 Years In Prison

Hedge Fund Billionaire Is Sentenced To 11 Years In Prison

Apple REITs Never Made Enough To Pay Promised Returns

Private Placements Cause Another Indie To Fail

B Of A Subsidiary Continues To Haunt The Firm

Another NAPFA President Is Subject Of Fraud Investigation

Life Settlement Fraud Scheme Nets Pair 105 Years In Prison

Arbitrator Writes An Interesting Dissent To Award

California Panel Says Societe Generale Liable For $61M

One Of Biggest Names In Planning To Opt Out Of Indie Business

Arbitrator: “There Was No Direct Order To Sell”

Self Help Author Uses Ponzi Scheme To Expedite Restitution

Regions Is Ponying Up $200M To Unload Its Morgan Keegan Unit

Former Goldman Director Surrenders For Insider Tips

MF Global: Missing Money, Failed Sale, Bankruptcy

SEC Slaps FINRA For Doctoring Records

Naked Short Sales Cost UBS $12 Million

Brokerage Firms Duped In Free Riding Scam

One Broker Settles – Other Gets Hit For $488,260

MF Global Holdings LTD Cases

Apple REITs

Non-Traded REITs

Elder Exploitation Cases

Private Placements

Principal Protected Notes

Mortgage Backed Securities (MBS) And Collateralized Debt Obligation Cases (CDO)

Reverse Convertible Notes

High Yield Bonds