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  • Home
  • News
  • Supporting Documents
    • ShareIntel
    • Articles
    • Complaints
    • Cases Prosecuted by
      • James W. Christian
    • Enforcement Actions
    • Rob Shapiro Memos
    • Leslie Boni Article
    • Spoofing
    • Interviews & T.V. Appearances
    • Rules & Regulations
      • Regulation SHO
      • Proposed Rule change of FINRA
  • FAQ
  • About Us
    • Executive Board Members
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      • Christian Levine Law Group
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    • Mission Statement
  • Contact Us

Enforcement Actions

CFTC JPMorgan Chase September 29 2020

DOJ – Current and Former Precious Metals Traders Charged with Multi-Year Market Manipulation Racketeering Conspiracy

DOJ – Jury Convicts Two Former Wall Street Bank Traders of Wire Fraud

FINRA Ascendiant

FINRA Canaccord

FINRA Cantor Fitzgerald

FINRA Citigroup

FINRA Clearpool

FINRA Interactive

FINRA Lek

FINRA Lightspeed

FINRA Merrill Lynch

FINRA RBC

FINRA Two Sigma

FINRA v Credit Suisse

FINRA v Merrill Lynch

FINRA v Morgan Stanley

FINRA v UBS

FINRA Wolverine

JP Morgan Fine Hong Kong

Merrill Lynch

SEC BTIG May 20 2021

SEC Citigroup July 12 2016

SEC Citigroup September 14 2018

SEC ITG AlterNet November 7 2018

SEC JPMorgan Chase September 29 2020

SEC v Citigroup

SEC v Goldman Sachs

SEC v Merrill Lynch

SEC v Schwab

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