David Bergstein allegedly stole $5.8 million from investors to pay for personal expenses incurred with an antique watch dealer and a bonsai nursery.
The bank discloses another investigation of the sham-accounts scandal that has sparked customer outrage and a $185 million settlement.
Adrian Beamish allegedly failed to properly scrutinize millions of dollars in payments that biotech investor Steven Burrill made from a fund.
James Cope allegedly bought shares in an acquisition target of Pinnacle Financial after learning of the deal at a board meeting.
James Merrill admits to participating in a Ponzi scheme that promised annual returns of 200% or more to "promoters" of TelexFree's internet phone…
Aircraft manufacturer Embraer admitted responsibility for multiple FCPA violations in four foreign countries from 2007 to 2011.
A study finds companies involved in financial misconduct deter whistleblowing by granting options to rank-and-file employees.
The state attorney general is investigating whether bank employees stole customers' identities when they created unauthorized accounts.
The energy services provider and four executives allegedly booked $20 million in improper revenue over a two-year period.
The SEC says the firm ignored red flags in its auditing of Weatherford International despite designating the client as "particularly risky."