Penalties and fines

This is the latest case to involve improperly allocating bonds meant for retail customers and instead selling them to other market participants.

It’s the regulator’s largest restitution order this year.

The firm allegedly provided some clients with misleading information about which charges they were actually paying for.

After resigning last year under pressure from federal policymakers, the former executive received no severance benefits or annual incentive award.

The bank failed to implement its own supervisory procedures around single-inverse ETFs, costing clients millions, the SEC says.

The settlement marks the bank’s largest yet from a series of scandals that claimed two chief executive officers.

To reduce the risk of retiring early, seniors are advised to take on a part-time job or downsize to reduce expenses.

“The bank had better tools and systems to detect employees who did not meet unreasonable sales goals than it did to catch employees” engaging in misconduct, the regulator said.

The bank's former chief executive will pay a $17.5 million penalty and be banned from the industry.

The firm’s supervisory systems did not identify brokers who recommended clients engage in potentially unsuitable early rollovers of UITs, the regulator said.

“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.

As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.

The court is taking up a challenge to one of the agency’s most potent legal weapons.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

The bank will pay $1.25 million for alleged supervisory failures.

The penalties come three months after Merrill Lynch settled similar charges.

The bank allegedly helped French clients evade taxes.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The justices said bankers can be held liable for sending clients deceptive information written by others.