Regulatory actions and programs

The firm "deprived its clients of unbiased financial advice," the regulator says.

The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.

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.

The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.

George L. Taylor and Temenos Advisory violated their fiduciary duty by pocketing commissions and concealing conflicts while the firm was in financial distress, the commission charges.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

It is the latest example of how companies are facing pressure to discipline individuals who have abused their position to obtain sexual favors or committed acts of violence and bullying.

The funds allegedly paid for summer camp fees and a 1976 Corvette.