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Category: Regulation, enforcement & litigation

Investments & markets
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$700,000 on decorating, $345,000 on jets and yachts, $136,000 on casinos and nightclubs, $6.9 m in credit card payments... The licensing rights didn't exist. It was...
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Regulation, enforcement & litigation
"It’s unconscionable that FINRA would stack the deck against American investors", says PIABA, the plaintiff attorney association. A judge has excoriated FINRA for having helped Wells...
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Regulation, enforcement & litigation
$11 Trillions worth of hedge funds, half the industry, is barely disclosing any information to the general public. The SEC, which already has valuable information on...
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Regulation, enforcement & litigation
Yet another Ponzi, this time with silver trading. Gaylen Rust from the Rust Rare Coin company, may spend the next 19 year in prison for a...
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Regulation, enforcement & litigation
NatWest has admitted to market manipulation to the SEC. The guilty admission will cost much more than the $35m fine. It may become the SEC's new...
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Regulation, enforcement & litigation
The party is still going, but the band's tune has changed. Regulators are investigating the Buy Now, Pay Later (BNPL) industry....
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Regulation, enforcement & litigation
You always see the glitz around hedge fund portfolio managers - the parties, the mansions, the cars and the boats. It's not always like that. This...
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Regulation, enforcement & litigation
Art is an expression of beauty, proficiency, creativity, or emotions. It is also an asset class and an investment. Like all investments, art has its fraudsters....
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Regulation, enforcement & litigation
An interesting British documentary about how money mules are recruited by larger money launderers, and how easy it is to lure young people into crime for...
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Regulation, enforcement & litigation
A San Francisco couple, founders of a legitimate solar panel company, were sentenced to 15 and 30 years in prison for orchestrating a Ponzi related to...