Most business leaders harbor a deeply-rooted belief: Offices as sanctuaries of corporate integrity, bustling with industrious individuals who diligently toe the line of right conduct under the leader’s watchful eye. Indeed, that’s a major reason why many business leaders want their employees in the ...Read More

The U.S. Securities and Exchange Commission on Friday fined Cantor Fitzgerald $1.4 million for repeatedly failing to identify and report customers who qualified as large traders. Cantor, a New York-based investment bank and brokerage, did not admit or deny wrongdoing in agreeing to the ...Read More

Eleven of the world’s largest banks and brokerages will collectively pay $1.8 billion in fines to resolve regulatory investigations over their employees’ use of messaging applications that broke record-keeping rules, regulators said Tuesday. The firms include brokerage units of Bank of America Corp., Barclays PLC,  Citigroup, Credit ...Read More