In Today's Securities Industry Commentator

January 21, 2020

California man who falsely claimed ties to Moroccan Royal Family pleads guilty to $10 million dollar advance fee fraud scheme (DOJ Release)

Chicago Investment Manager Indicted on Fraud Charges for Allegedly Swindling Money From Women He Met Online (DOJ Release)

Two People Indicted For $30 Million Dollar Fraud Scheme Involving Blockchain Technology Company (DOJ Release)

SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity (SEC Release)

What exactly to make of the Barron's article about Orion being listed for sale by Raymond James for $1.8 billion -- and how it boils down to 'when', not if ( by Oisin Breen)

SEC Charges Construction Management Consulting Company and Former Employees with Accounting Fraud (SEC Release)

SEC Charges Operator of Substance Abuse Center with Securities Fraud (SEC Release)

Former Congressman Christopher Collins Sentenced For Insider Trading Scheme And Lying To Federal Law Enforcement Agents (DOJ Release)

In the Matter of the Application of TMR Bayhead Securities, LLC For Review of Disciplinary Action Taken by FINRA (Opinion, SEC, '34 Act Release 88006; Admin. Proc. File No. 3-18869)

FINRA Promotes Jessica Hopper to Head of Enforcement (FINRA Release)