New York
Get the latest news and insights on New York's financial regulations, enforcement actions and litigation.
Fired BNY Advisor Claims Age Discrimination
By Dinah Wisenberg BrinThe advisor says a manager made ageist remarks and dismissed him despite his consistently strong performance.
July 15, 2024
New York Moves to Take Control of Columbian Mutual LifeThe insurer has about 700,000 policies in force, according to Adrienne Harris, the financial services superintendent.
May 20, 2024
Ex-Advisor Convicted of Swindling Couple Out of $1MJeffrey Slothower used client money to pay for a Mercedes and a country club, DOJ says.
April 16, 2024
New York Couple Sues Over Life Premium Finance Collateral CallsThe Aronsons thought $1.5 million in collateral would be enough. Then conditions changed.
February 16, 2024
Trump Organization Hit With $365M Fine in Fraud TrialTrump is sure to appeal, potentially dragging out a final resolution of the case well beyond the November election.
January 28, 2024
Calling Clients About Life and Annuities? There Are Laws for ThatThe penalty for a violation can range from $500 to $20,000.
November 20, 2023
New York Life Faces Hiring Suit Linked to Adult FilmThe applicant says the company withdrew a job offer because of a work made and distributed against her will.
November 16, 2023
Morgan Stanley to Pay 6 States $6.5M Over Client Data SecurityThe firm failed to erase customer information from old hard drives and servers before auctioning them off.