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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
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Deloitte Financial Corporate's settlement over recordkeeping allegations probably would have been bitter had the company not cooperated.
January 17
