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Paul Reid Galietto's lawyer says he was let go by Credit Suisse in 2021 after the firm tried to unfairly blame him for losses from the collapse of the giant family office Archegos Capital Management.
February 24
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Bloomberg reports that Citi has enlisted a law firm to look into complaints about Andy Sieg's behavior to current and former colleagues, including former private banking head Ida Liu.
August 20
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Cinda Collins alleged before a FINRA arbitration panel that RBC fired her in late 2019 in an attempt to "steal much of her book of business without compensating her for it."
November 1
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An SEC rule that would increase requirements for companies to disclose their emissions was paused following a lawsuit this spring.
June 21
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A pair of former wealth managers contend they were yelled at and suffered other retribution after raising concerns about sharing clients' information without their knowledge.
March 8
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Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.
December 19
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The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.
November 15
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Other states are likely to look to Massachusetts for guidance on how far they can go in holding broker-dealers to a higher standard than Regulation Best Interest.
August 25
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Employees at 11 firms, some ranking as high as senior executive, stood accused of using WhatsApp and similar services to conduct business in violation of recordkeeping rules.
August 8
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A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.
July 12
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State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.
July 11
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The bank will pay $290 million over allegations that it didn't do enough to stop disgraced financier.
June 12
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The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.
June 9
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Long-time CEO maintains he never met or even knew of notorious sex offender.
June 1
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Investors argues in suit that Jamie Dimon and other executives risked the bank's reputation in their dealings with the disgraced financier.
May 10
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The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.
May 2
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The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.
April 3
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Bank seeks to hold former private banking chief liable should sex-trafficking allegations prove true.
March 9
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A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own.
February 6
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The Wall Street firm is among the big-name companies that are in hot water with te
January 27
