G1 Execution Services LLC (“G1”) recently agreed to a censure and $575,000 fine by the Financial Industry Regulatory Authority (“FINRA”) relating to failure to use best executive practices…
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Broker Marc Romeyn Lippman of Washington, D.C., recently agreed to a bar by the Financial Industry Regulatory Authority (“FINRA”) relating to false testimony he provided to FINRA relating…
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A FINRA arbitration panel recently ruled for investors against clearing house Pershing LLC (“Pershing”) relating to Pershing’s involvement with the Stanford Ponzi scheme. In Cagle et al v.…
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The Securities and Exchange Commission (“SEC”) was recently granted a temporary restraining order and asset freeze relating to an alleged Ponzi scheme involving Johanna M. Garcia and the…
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Two final defendants recently pled guilty in the massive Woodbridge Group of Companies LLC (“Woodbridge”) Ponzi scheme that bilked some 7,000 investors out of approximately $1.29 billion. Dane…
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Last month, the SEC announced yet another enforcement action involving a special purpose acquisition company (“SPAC”). A SPAC is a publicly traded shell company that has no underlying…
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