11/06/2017
Stifel Broker Wins $3 Million from UBS for Defamation
James Springer Jr. wins his defamatin case against UBS, business owners want tax reform and what to do to be productive and wealthy.
Legal, Regulation & Compliance
11/02/2017
Bedell Cristin advises Leonard Green & Partners on acquisition of CPA Global
LGP is a leading private equity investment firm founded in 1989 and based in Los Angeles.
11/02/2017
Barclays Staff to Face New York Whistle-Blowing Interviews
The CEO may have to step down if the FCA deems him unfit to lead a financial institution.
11/01/2017
Ex-Merrill Lynch broker to plead guilty to securities fraud
Robert Hammerle, Buck’s lawyer in the criminal case, said his client admitted he overcharged clients
11/01/2017
U.S. Tax Cheaters Line Up Against Their Accused Ex-Swiss Banker
It would open us up to investigation.
11/01/2017
Womble Bond Dickinson launches – the transatlantic law firm close to home
Womble Bond Dickinson will use its strength and experience in these sectors to create opportunities for its clients and build on the success achieved so far through the strategic alliance.
11/01/2017
Global Reach of MiFID II Strikes North American Buy-Side
The report explores new data requirements and challenges around data lineage
10/31/2017
Celebrities Sue Over Failed Tax Avoidance Ruse
Eclipse 35, One Of The Biggest Partnerships, Was A Tax Avoidance Scheme
10/31/2017
JPMorgan Chase Defends Whistleblower Claim From Madoff Era
The trial in Manhattan federal court is expected to take about a week.
10/30/2017
US Denies Iran-Related Sanctions for Turkish Banks
Three executives from Halkbank, Turkey’s second-largest state bank, have been charged in the US for violating sanctions on Iran and banking fraud.
10/30/2017
Manafort surrenders, Gates asked to turn himself in to Mueller, source says
Gates is a longtime business associate of Manafort, having worked together since the mid-2000s, and served as his deputy on the campaign.
10/30/2017
Amid Russia Row, Miami Boutique Affiliates With Moscow Firm
Diaz, Reus & Targ will have a new outpost in the Russian Federation after aligning with LegaLife.
10/30/2017
Elaborate fake gold bar sparks investigation by RBC, police
The small bar he was provided looked as if it had come from the Royal Canadian Mint, however, upon closer inspection, it was found to be a fake.
10/29/2017
These 13 Wire Transfers Are A Focus Of The FBI Probe Into Paul Manafort
The new revelations come as special counsel Robert Mueller’s investigation is tightening, with reports that an indictment may already have been issued.
10/27/2017
US recommends asset manager stress tests be removed
The regulatory framework for both the asset management and insurance industries can be significantly improved.
10/26/2017
Merrill Lynch, Morgan Stanley Face Discrimination Suits
This week a U.S. District Judge gave Merrill Lynch an extension until the end of the month to submit a response, according to the publication.
10/26/2017
Former private equity firm partner charged with secretly billing clients for vacations and salon visits
According to the SEC’s complaint, despite being caught by the firm and told to stop on two occasions in 2010 and 2012, Rashid continued to expense personal items to clients into 2013.
10/26/2017
SEC Is Said to Review Guggenheim Ties With Argentine Businessman Sonali Basak
Ball’s brother Juan worked at Guggenheim for years.
10/26/2017
Con artist who posed as German heiress in bank scheme busted for stealing $275G
She spent the money on personal trainer sessions, hotel stays at 11 Howard in SoHo and other personal expenses, prosecutors said.
10/25/2017
Goldman Is Said to Mull Bulking Up Small-Cap Coverage Post-MiFID
The person asked not to be named discussing a private matter.