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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
