10/01/2018
The SEC’s order also finds that although Credit Suisse touted “robust” and “enhanced” price improvement on orders, RES’s computer code treated orders for which execution quality is required to be publicly reported diffe
09/30/2018
New law requires big pension funds to provide more information on environmental risk
09/28/2018
Herbello is fluent in English and Spanish and experienced in drafting contracts and policies in both languages.
09/28/2018
Julius Baer is clamping down after a series of run-ins involving Venezuelan oil money, FIFA bribes and arms sales to Russia.
09/27/2018
Working with over 1,000 funds, the firm is actively involved in the most current legal trends in the industry.
09/27/2018
The ruling, however, could hardly have been welcome news at Morgan Stanley and may even have broader implications for the brokerage industry
09/26/2018
Tannenbaum Helpern's Investment Management practice is recognized by HFMWeek at its annual US Hedge Fund Services Awards 2018 ceremony on September 13th.
09/26/2018
Chanu is seeking to be released on bond to Dubai in the United Arab Emirates, where he currently works at a trading company, his lawyer said.
09/26/2018
Tax Whistleblower Receives $13.6 Million Dollar Award
We thank the whistleblower for the courage to come forward
09/25/2018
Omnibus accounts let advisors trade securities on behalf of multiple clients at the same time in a “block trade” without identifying to the broker which trade was made for which client.
09/25/2018
“Bitcoin is fundamentally a technological system with many nooks and crannies,” Bishop told Forbes.
09/25/2018
Smith Moore Leatherwood, once a small regional firm, will now step into the AmLaw 100.
09/25/2018
If proven, the allegations could lead to 20 years in prison
09/24/2018
Litigators from Cooley and Jackson Lewis have left each firm to branch out on their own.
09/24/2018
Last month LPL, which did not provide a response to an inquiry for this story, filed an answer to Beaufort’s complaint.
09/23/2018
The direction governs the specific circumstances under which Colorado law will require a crypto exchange to have a money transmission license.
09/22/2018
The SEC appreciates the assistance of the U.S. Attorney's Office for the District of Maryland and the Federal Bureau of Investigation.
09/21/2018
The firm’s legal maneuvering mirrors similar court battles it initiated earlier this year against other ex-Morgan Stanley advisors who moved to rival firms.
09/21/2018
Favored clients allegedly got the winning trades and others got the losers so the firm could profit more.
09/21/2018
In its statement announcing the reversal, Merrill Lynch emphasized the flexibility the decision would provide clients.