Losses & lawsuits
Buckingham settles with SEC over charges of information misuse
Capital management firms settle with SEC over failing to prevent misuse of non-public information
HSBC issued with cease-and-desist order for AML failures
HSBC's North American arm accused of deficiencies in compliance
FSA fines two mortgage brokers at Pace Financial £400,000
Two banned from working in financial services after submitting false and misleading information to secure mortgages
Dallas star Larry Hagman awarded $11.5 million payout
Actor claims Citigroup breached fiduciary duty
Hedge fund manager guilty of $7m insider-trading scheme
Joseph Contorinis used inside information about mergers and acquisitions to execute trades
Citigroup rejects discrimination claims as lawsuit launched
Bank accused of suffering from a 'boys’ club' mentality
Countrywide chief executive hit with record fine
Mozilo agrees $22.5 million settlement with SEC over charges of misleading investors
UK FSA hits Goldman Sachs with £17.5 million reporting fine
UK FSA hits Goldman Sachs with £17.5 million reporting fine
SEC mandate over rating agencies strengthened by Dodd-Frank
Closure of SEC investigation into Moody's demonstration of the regulator's new powers under Dodd-Frank
UK FSA bans director amid insurance fraud crackdown
Andrew Jeffery banned and fined over insurance fraud failings
Lehman, HSBC could face lawsuit over Hong Kong minibonds
US judge rules holders of minibonds may sue
HSBC faces money-laundering investigations by US regulators
Admits is is likely to face enforcement action
Barclays stumps up $298 million after evading sanctions
US district court judge not happy about "sweetheart deal"
Banks face suit from US fund over mis-sold subprime loans
Fifteen banks accused of mis-selling mortgage-backed securities
Former Société Générale manager fined for insider trading
Jean-Pierre Mustier fined €100,000
Goldman Sachs to pay $550 million to settle SEC lawsuit
US bank receives the largest fine the SEC has ever imposed on a financial entity
Three ordered by High Court to pay £115 million to UK FSA
Three ordered to pay up for accepting deposits without FSA approval
UAE firm sues MD over bonuses
Claims director mis-stated profits in order to collect bonus