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The government called the companies’ decision to halt their combination “a victory for American consumers and small businesses.”January 13
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James Booth’s seven-year fraud bilked investors out of nearly $5 million.November 24
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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.September 29
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After the client died at age 98, the advisor allegedly moved on to bilk another elderly investor, authorities say.June 16
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The acquisition, set to close later this year, will create a behemoth among custodians.June 4
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The Justice Department’s antitrust division has signed off on the takeover without requiring any changes, according to a person familiar with the matter.March 30
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The advisor had been previously arrested at the airport prior to boarding a flight.March 23
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The settlement marks the bank’s largest yet from a series of scandals that claimed two chief executive officers.February 21
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He used client funds money to pay for massages, jewelry and to shore up his wife's failing pet store.January 14
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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.January 7
