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CEO Paul Reilly says the firm has hired new compliance professionals and is also working with outside attorneys in order to prepare for new regulations.
July 21
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Firm had sought to quash lawsuit from two former employees who alleged numerous securities laws violations, hostile work environment and wrongful termination.
July 18
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The bill was for 220 hours of attorney's work, which the judge called "excessive on its face" for a case that included no oral arguments.
July 13 -
The firm admitted to wrongdoing, saying the incomplete trading data was due to a computer coding error.
July 13
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Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.
July 12
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"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.
July 7
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Legislation passed by the House offers advisers protection against liability.
July 6
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The 81-year-old widower also won an additional $12,000 for his elderly friend in a FINRA arbitration proceeding.
July 5
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The firm settled charges by Vermont securities regulators connected to a ski resort at the center of an alleged $200 million fraud. A related lawsuit filed by an SEC-appointed receiver is pending.
July 1 -
The firm is of two minds on the issue: It can hire whomever it wants from competitors, but many of its own advisers are off-limits.
June 30
