The client lost $1.3 million to risky trading that generated $232,000 in commissions
The bank was fined $400,000 after it overcharged seniors $31 million
The court appointed the firm based on an independent recommendation
The firm's systems weren't ready when oil went negative, leaving clients unable to trade
The bank paid US$72.6 million in a settlement with U.S. authorities
In decision, MFDA panel stresses need for sanctions that deter exploitation of vulnerable investors
The regulator charged a trader for exploiting high volume to carry out a liquidity rebate scheme
Australian securities watchdog is calling on industry, investors to guard against online manipulations
Thousands of small trades over five years generated millions in profits, SEC alleges
The SRO withdrew the allegation after settling with the firm's former head