Managers of Wealth Americas

U.S. faults foot-dragging banks amid Deutsche Bank talks

Without help from the banks in several instances, he said, the government was forced to build cases from the ground up.

Saudi Arabia Megabond Said at Risk of 9/11 Legislation Delay

Senate leaders in both parties said Tuesday they expect the vote to succeed, though Congress has yet to override a veto by Obama.

FINRA Fines UBS Financial Services for Failing to Provide Fund Sales Charge Waivers for Eligible Customers

If these conditions are satisfied, the mutual fund waives the front-end sales charge.

U.S. Senate's top tax lawmaker targets corporate offshore profits

Oregon Senator Ron Wyden said he wants to put an end to a Kennedy era law

Standard Chartered Faces U.S. Probe Over Indonesian Investment

An evidence of possible bribery and other misconduct, findings that were echoed in a separate review by a law firm

Wells Fargo Board Hires Lawyers To Advise On Possible Clawbacks

Wells Fargo fired or demoted employees who failed to meet unrealistic quotas, while, at the same time, providing promotions to employees who met these quotas by opening fraudulent accounts

BlackRock, Vanguard Hail Regulatory Shift on Too-Big-to-Fail

The companies and their main trade associations, in hundreds of pages of letters, called on the Basel-based FSB to fine-tune potential constraints on how firms assess market stress

Wells Fargo Would Owe Deceived Customers Less Than $50 Million: Goldman

Wells Fargo has refunded $2.6 million in fees to customers, but Tester said the consequences go beyond late charges.

Argentina's Macri, Chile's Pinochet Embroiled in Bahamas Leaks

The Macri family’s Grupo Socma holding invested in ViajeYa.com, a company registered in the Bahamas which focuses on online tourism services, according to a report in La Nación daily.

BNY Mellon Accused of Unfair Competition by Wealth firm

Suit comes weeks after bank accused firm of poaching clients

CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay $500,000 for Recordkeeping Violations

Barclays is a global banking and financial services company based in the United Kingdom, as well as a provisionally registered swap dealer with the CFTC.

CBC INVESTIGATES Senator reports herself to ethics czar over tax-haven revelations

'I had no knowledge of, or participation in… the listing of my name as a director' of offshore firm

SEC Charges Billionaire Hedge Fund Manager Leon Cooperman With Insider Trading

Cooperman and Omega are alleged by the SEC to have made $4 million on the trades when the securities soared after the deal was announced.

Hodgkinson Street Mepham Ranked in U.S. News 2016 “Best Law Firms” List

Hodgkinson Street Mepham received numerous accolades in 2016

SEC calls for greater transparency and record keeping with changes to Form ADV and Advisers Act

The SEC hopes the new rules will improve the depth and quality of the information it collects, facilitate its risk monitoring initiatives and assist staff in its risk-based examination program.

U.S. judge narrows currency rigging lawsuit against seven banks

U.S. judge narrowed but refused to dismiss lawsuits against Deutsche Bank, Morgan Stanley, and five other large banks

FINRA Capital Acquisition Broker Proposal Approved

Broker-Dealers Conducting Only Certain Private Fund Placement Services or Corporate Finance or Investment Banking Advisory Activities May Elect to Be Governed by More Limited FINRA Rule Set

Dimock Stratton and DLA Piper announce combination

DLA Piper LLP is a leading full-service law firm with six offices across Canada and is part of the DLA Piper global network. One of the world’s largest firms.

Investigate companies for tax dodging

Apple has more than $215 billion in profits hidden offshore on which it could owe the American people more than $60 billion in taxes.

Securities Regulators See Improvements in Financial Reporting

We feel like we have seen improvements, just in the second-quarter earnings releases.

Legal, Regulation & Compliance