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It’s the regulator’s largest restitution order this year.
June 4 -
The firm allegedly provided some clients with misleading information about which charges they were actually paying for.
May 12 -
After resigning last year under pressure from federal policymakers, the former executive received no severance benefits or annual incentive award.
March 17 -
The bank failed to implement its own supervisory procedures around single-inverse ETFs, costing clients millions, the SEC says.
February 27 -
The settlement marks the bank’s largest yet from a series of scandals that claimed two chief executive officers.
February 21 -
To reduce the risk of retiring early, seniors are advised to take on a part-time job or downsize to reduce expenses.
January 24 -
“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.
January 24 -
The bank's former chief executive will pay a $17.5 million penalty and be banned from the industry.
January 23 -
The firm’s supervisory systems did not identify brokers who recommended clients engage in potentially unsuitable early rollovers of UITs, the regulator said.
January 2 -
“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.
December 20