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SEC Fines Ex-Raymond James Branch Manager for Role in EB-5 Fraud: Enforcement

The Securities and Exchange Commission filed charges against a former registered representative and branch manager with Raymond James & Associates for helping facilitate an EB-5 offering fraud ... read more

Bridging the Week: February 29 – March 4, and 7, 2016 (Electricity; Prearranged Trades; Delivery Line Freshening; FCPA; Limiting Bank Exposure)

All in the Family Prearranged Trades Result in CME Group Fines ... wire fraud and bank fraud in connection with the manipulation. ASIC Files Charges Against Bank for Role in Setting Australia’s ... read more

Finra fines Aegis Capital nearly $1 million over penny stock sales

For example, the customers were referred to Aegis by a former broker who had earlier been barred from the industry by Finra and was later charged by the SEC with abetting securities fraud ... A former ... read more

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Chineseinvestors.com, Inc. (CIIX)

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ¨ No þ Indicate by check mark if the registrant is not required to file ... read more


no damage reported yet

ramp up its enrichment of uranium to 20 percent purity as its next potential big moves away from a 2015 nuclear agreement that Washington abandoned last year. The threats, made by the spokesman for ... read more

ProfNet Expert Roundup: Trump Presidency

In her book, "Policing Hatred: Law Enforcement, Civil Rights and Hate Crime," Bell spent five and a half months with the detectives in a hate-crime unite of a large police department; the unit ... read more

Expect Focus - Regulators Are Watching: New Products, New Opportunities, New Risks - Volume III, Summer 2014

or otherwise address fraud, security, safety or privacy issues. Please see Article 6(1)(f) of the E.U. General Data Protection Regulation ("GDPR") In addition, there may be other situations where ... read more

FinCEN Publishes Guidance Pertaining to Certain Business Models Involving Convertible Virtual Currencies

On May 9, the Financial Crimes Enforcement Network of the US Department of the Treasury ... does not apply to persons "functionally regulated or examined" by the Securities and Exchange Commission or ... read more

ProfNet Expert Roundup: Trump Presidency

NEW YORK, Nov. 30, 2016 /PRNewswire/ -- Below are experts from the ProfNet network who are available to discuss what we can expect from a Trump presidency, including issues such as civil rights, ... read more

WebMD Health Corp (WBMD)

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☑ No ☐ Indicate by check mark if the registrant is not required to file ... read more

2017 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review

or otherwise address fraud, security, safety or privacy issues. Please see Article 6(1)(f) of the E.U. General Data Protection Regulation ("GDPR") In addition, there may be other situations where ... read more



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