DoJ

More than 60 lawyers wrote in response to a memo by Deputy Attorney General Todd Blanche that called for a broad reorganization of the department.

The deal would end an investigation into Morgan Stanley's employees' handling of stock sales big enough to move markets.

The former broker's last-ditch effort to convince a former friend and victim that his money was secretly invested and doing well only led to more charges.

The clearing brokerage and custodian to Naseem Salamah’s former RIA employer has provided restitution to the three “elderly” victims, records show.

The unregistered financial advisor’s crimes became only the latest example of how securities cases can spill over into substance abuse and violence.

Jose Ramirez says he doesn't recognize the criminal mastermind portrayed in the SEC's complaint against him.

DaRayl Davis used his clients' money to rent a fancy Hollywood mansion, purchase over $100,000 in airline tickets and pay off massive credit card bills.

He allegedly used the money to pay gambling debts and credit card bills, according to federal prosecutors.

The government called the companies’ decision to halt their combination “a victory for American consumers and small businesses.”

James Booth’s seven-year fraud bilked investors out of nearly $5 million.

The Justice Department filed two counts of wire fraud against the firm but agreed to defer prosecution under a three-year deal that requires the bank to report its remediation and compliance efforts to the government.

After the client died at age 98, the advisor allegedly moved on to bilk another elderly investor, authorities say.

The acquisition, set to close later this year, will create a behemoth among custodians.

The Justice Department’s antitrust division has signed off on the takeover without requiring any changes, according to a person familiar with the matter.

The advisor had been previously arrested at the airport prior to boarding a flight.

The settlement marks the bank’s largest yet from a series of scandals that claimed two chief executive officers.

He used client funds money to pay for massages, jewelry and to shore up his wife's failing pet store.

The advisor was charged with overbilling clients by hundreds of thousand of dollars and diverting millions from the company’s payroll to his own account.

Following a plea agreement, Bradley Mascho is sentenced for his role in defrauding investors of more than $20 million.

Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.