The agency said the robo's errors caused clients to lose $4 million in potential tax savings.
An ex-employee of the firm won the case saying the bank discriminated against older white males.
The Allentown firm was founded in 2004.
As the world changes, the bonds tying broker-dealers to their reps might have to be broken to be reset.
CFRA Research says annuities have winds at their back from the SECURE Act and interest rates.
Christopher Matthaei got tips on SPAC deals from a friend at a Toronto-based asset manager, the DOJ said.
Sieg, who headed Merrill Lynch Wealth Management, rejoins Citi's global wealth arm.
Federal prosecutors allege Roshan Perera of Queens used his client's money for personal expenses and day trading.
The $12 billion AUM broker-dealer wants to strengthen relationships with its force of 325 advisors.
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