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Deutsche Bank Securities and Central States Capital Markets agreed to settle with FINRA for a combined $80,000.
June 28 -
Jose Ramírez has yet to acknowledge wrongdoing in misleading investors about Puerto Rico debt and may pose a continued threat to investors, SEC lawyers told a federal judge.
June 25 -
The SEC contends it played fairly in prosecuting its case against Wells Fargo Securities and Peter Cannava, denying the defense's allegations of dishonest "legal gamesmanship."
June 22 -
Ex-Morgan Stanley branch manager Terry Lee McCoy failed to act on several "red flags" that the accounts of an elderly and incapacitated customer were being abused, FINRA said.
June 19 -
Navnoor Kang, a former director at the New York State Common Retirement Fund, wants home confinement rather than prison.
June 13 -
Two town officials also received civil penalties totaling $35,000 and were ordered to resign and be temporarily barred from employment with Ramapo, N.Y.
June 8 -
The IRS Office of Professional Responsibility took no action on the misconduct allegation against Brad Waterman, but informed him that a record of it would be kept for 25 years and revisited if needed.
June 6 -
Wells Fargo Securities and banker Peter Cannava are alleging the SEC was dishonest in crafting investors' statements and failed to turn them over to defense attorneys in the 38 Studios case.
June 4 -
Early returns indicate there have been some problems but firms seem to be working through them in complying with the new markup rules, regulators and industry officials said Tuesday.
May 22 -
The IRS is focusing on $435.2 million of Series 2014A senior lien revenue refunding bonds and $75.87 million of Series 2014C second lien revenue refunding bonds.
May 21