07/16/2019
“We’ve seen a greater need for us to make investments in terms of risks, compliance and audit, all those things that we’re going to need to make investments in, in order to satisfy the requirements of our regulators,” said Interim
07/14/2019
Prosecutors allege that Ficeto, Homm and the other co-conspirators “fraudulently manipulated the penny stocks to inflate and artificially prop up their prices to exaggerate the purported profitability of the Absolute Capital hedge funds.
07/11/2019
The change, published in a regulatory notice, is the latest effort by a U.S. financial regulator to highlight cooperation programs, which they say are central to their enforcement efforts.
07/08/2019
The Supreme Court accepted the case, Thole vs. U.S. Bank, after it was dismissed by a lower court and the 8th U.S. Circuit Court of Appeals in St. Louis.
07/06/2019
Kelley Galica Peck, a partner in Stamford-based Cummings & Lockwood’s Private Clients Group, served as vice chair, Estates and Probate Section, of the Connecticut Bar Association and was instrumental in the drafting and proofing of the act.
07/05/2019
The Brazilian company runs multiple insurance segments such as health and dental, auto, property and casualty, life and personal accident insurance.