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He confessed months after he was caught with 136 pounds of marijuana, investigators say.
June 6
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The pro athlete met the adviser through his college business professor, authorities say.
May 30
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On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.
April 20
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Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.
April 4
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A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.
April 3
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A federal judge issued a restraining order and a temporary asset freeze against the former broker.
March 28
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The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.
March 21
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The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.
March 17
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Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.
March 8
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The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.
February 27
