10/03/2016
TROUBLED Deutsche Bank is desperately trying to haggle down a gigantic mis-selling fine, which investors fear could sink the company and heavily damage Germany’s economy.
09/30/2016
But as during the grilling he received last week from a Senate panel, Stumpf remained on the defensive.
09/30/2016
Katz is seeking compensation for “lost wages and future loss of earnings” and benefits as a result of the “retaliatory discharge.”
09/30/2016
Distribution will bring total payout in the firm’s bankruptcy to more than $113.6 billion
09/30/2016
Then, in June of this year, the charges were filed.
09/29/2016
SEC says UBS to pay $15 million over sales practices
UBS's notes were designed to offer attractive yields with a lessened risk of loss
09/29/2016
The state contends Capco was a sham used to convert into investment losses
09/29/2016
Mega Bank will "actively communicate" with regulators, said Chang, who is also the chairman of Mega Bank.
09/29/2016
Hedge fund company will enter deferred prosecution agreement; could be announced Thursday
09/29/2016
Sizer and Mesa have agreed to partial settlements of the SEC’s charges without admitting or denying the allegations.
09/29/2016
NuWave first sued BackTrack and its parent company in 2006
09/29/2016
The Securities and Exchange Commission has charged two lawyers and a brokerage firm manager in Peru with insider trading prior to the merger of two mining companies.
09/29/2016
The Commission also voted to propose to apply the enhanced standards established by the new rules to other categories of securities clearing agencies, including all SEC-registered central counterparties.
09/29/2016
Proposal Shortens Settlement Cycle From Three Business Days to Two
09/28/2016
Top executives may have to forfeit some of the $300 million doled out during the period when harried workers set up fake customer accounts to meet sales goals.
09/28/2016
Without help from the banks in several instances, he said, the government was forced to build cases from the ground up.
09/28/2016
Senate leaders in both parties said Tuesday they expect the vote to succeed, though Congress has yet to override a veto by Obama.
09/27/2016
If these conditions are satisfied, the mutual fund waives the front-end sales charge.
09/27/2016
Oregon Senator Ron Wyden said he wants to put an end to a Kennedy era law
09/27/2016
An evidence of possible bribery and other misconduct, findings that were echoed in a separate review by a law firm