1
A regulatory settlement followed his excessively confident public statements about a potential deal to take Tesla private.
2
The fine was $100 million, the fifth-largest regulatory settlement in the history of Wall Street.
3
A spokesman said the accord is the New York-based bank's last regulatory settlement related to the financial crisis.
4
It agreed in 2006 to a related $1.64 billion regulatory settlement.
5
While Suarez pleaded guilty in the criminal cases, he neither admitted nor denied the findings in his regulatory settlement with FINRA.
6
Citi's settlement sum is sizeable compared to other recent CFTC enforcement actions, but the bank has faced at least one larger regulatory settlement.
7
Schwab logged a big one-time charge because of a $119 million regulatory settlement related to its YieldPlus SWYSX.O mortgage-bond mutual fund.
8
Wells Fargo reached a $190 million regulatory settlement over the phony accounts in September, and parted ways with Stumpf the following month.
9
FINRA's enforcement case stems from activity involving non-convertible preferred securities between 2006 and 2010, according to a regulatory settlement.
10
According to a regulatory settlement, FINRA's disciplinary case stems from activity involving non-convertible preferred securities between 2006 and 2010.
11
According to a Sept. 8 regulatory settlement, problematic sales practices at Wells Fargo go back to at least 2011.
12
As part of a $190 million regulatory settlement in September, Wells said as many as 2.1 million phony accounts were opened.
13
But ultimately, the bank said some 600,000 customers were forced into CPI unnecessarily when it reached a $1 billion regulatory settlement in April.
14
AIG previously acknowledged accounting improprieties and restated $3.9 billion in earnings from 2000 through 2004 and agreed to a $1.64 billion regulatory settlement in 2006.
15
The bank's ADS price fell 12 percent on the day after the regulatory settlements were announced.
16
One of Bank of America's biggest expenses in recent years has been those related to litigation and regulatory settlements.
