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A settlement with Massachusetts regulators resolved a nontraded REIT case, but NPH’s terminations from FINRA and a handful of states are still pending.
September 10
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The firm "deprived its clients of unbiased financial advice," the regulator says.
August 21
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Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.
August 15
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The bank continues to battle a series of negative headlines such as erroneous foreclosures, but public and investor reaction has been muted.
August 14
American Banker -
The case offers a new look at decisions made inside one of the nation’s largest home lenders before the financial crisis, and the evidence that executives saw of mounting trouble.
August 1
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The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.
August 1
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The SEC claims Schwab failed to file reports on suspicious transactions by independent advisors.
July 3
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Company policies were not reasonably designed to detect and prevent misconduct, the SEC claims after one advisor allegedly misappropriated more than $5 million from client accounts.
June 29
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Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.
June 7
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The firm has spent the last two years working to overcome various scandals.
May 31
