01/25/2018
Finra suspended Diaz indefinitely in 2015 for failing to comply with a settlement agreement or an arbitration award or to respond to the regulator’s requests for information, according to his BrokerCheck profile.
01/24/2018
Clayton said that the agency is “looking closely” at such “Blockchain-R-Us” schemes to determine whether they violate securities regulations.
01/22/2018
The strategic investment brings extensive expertise in the U.S. financial services and banking fields, will assist in the continued evolution and success of Bank Leumi USA and will lead to the creation of greater value for the Leumi Group.
01/19/2018
The banker, 55, has been collecting wine for decades and is said to have a 1,000-bottle storage area
01/19/2018
In total, HSBC admitted to making profits of approximately $38.4 million on the first transaction in March 2010, and approximately $8 million on the Cairn Energy transaction in December 2011.
01/19/2018
The Divisions of Enforcement for the SEC and CFTC will continue to address violations and bring actions to stop and prevent fraud in the offer and sale of digital instruments.
01/18/2018
Separately, Finra has barred Matthew Peregoy, who was registered with Investors Capital Corp. from January 2006 to July 2016
01/16/2018
The lower the CDOR rate, the less interest the banks would owe on such positions.
01/16/2018
Darius Goldman, a former head of distressed debt at Katten Muchin Rosenman in New York, has some thoughts about the Big Law business model.
01/16/2018
Trump owed Deutsche Bank about $130 million, according to a report last June from the U.S. Office of Government Ethics.
01/16/2018
In 2017, federal and state regulators stepped up AML enforcement.
01/11/2018
Manafort and Gates are already under criminal indictment by Special Counsel Robert Mueller
01/10/2018
That compares with a floor of 72.5 percent based on a standardized approach that global regulators agreed on in December.
01/10/2018
The regulator said both men misled investors about the funds’ performance.
01/09/2018
Andbank, which already named Gonzalo Tarasido to head up the effort in Argentina, is also considering partnerships with brokerages in the country.
01/09/2018
The suit paints a picture of a slippery attorney looking to take advantage of his partner's fragile mental state, and later defraud a widow.
01/09/2018
Murakami declined to comment outside after a court hearing.
01/09/2018
Covington & Burling LLP partner Sean Akins, Villanova Law School professor Leslie Book and Fred Murray, director of the University of Florida’s graduate tax program, filed an amicus brief on Thursday
01/09/2018
“We believe access to robust, independent research is vital for our advisors to best serve their clients’ needs"
01/08/2018
"Our clients have great ideas on how to innovate. Devbridge provides a proven process to quickly turn ideas into products."