06/14/2016
The fact that Blackstreet Capital fully disclosed the fees did not affect the SEC’s conclusion that Blackstreet acted as an unregistered broker-dealer.
06/12/2016
To reach out to American officials and fund its U.S. operations, the center said it needed an infusion of cash for an eight-month campaign: at least $247,000.
06/12/2016
This week's arrest of hedge fund manager Murray Huberfeld for an alleged kickback scheme with New York City's correction officers union didn't surprise one particular private eye.
06/10/2016
“The combination of our new and existing tools helps our clients operate as fiduciaries.”
06/10/2016
Deal flow and complexity on the rise when it comes to sales of adviser businesses
06/10/2016
Conference participants were told that their discussions would be off the record – no recordings or videos would be allowed.
06/10/2016
The proceeds from the illegal operations were shuffled through Cyprus, Azerbaijan and Switzerland, prosecutors said.
06/10/2016
The SEC appreciates the assistance of the New York Field Office of the Federal Bureau of Investigation and the U.S. Attorney’s Office for the Southern District of New York.
06/10/2016
The award is the second-largest issued by the SEC since its whistleblower program began nearly five years ago. The SEC issued a $30 million award in September 2014 and a $14 million award in October 2013.
06/10/2016
FINRA also found that Oppenheimer failed to conduct adequate due diligence regarding the risks and features of non-traditional ETFs and, as a result, did not have a reasonable basis to recommend these ETFs to retail customers.
06/10/2016
The Point Resort is a member of Relais & Châteaux, a prestigious Paris-based hotel association
06/10/2016
While there’s been increased attention paid to these practices, they haven’t gone away.
06/09/2016
The law firm at the centre of the Panama Papers scandal is under fresh attack, facing a lawsuit from the powerful US hedge fund that successfully sued Argentina.
06/09/2016
Murray Huberfeld, linked by FBI to Corrections Union bribery scheme, is top philanthropist of Chabad and other religious institutions.
06/09/2016
Norman Seabrook and Murray Huberfeld of Platinum Partners, L.P. were arrested
06/09/2016
The SEC found that the investment banking giant Morgan Stanley failed to take proper precautions to safeguard customer data during a hack that resulted in private information being offered for sale online.
06/09/2016
Brazil's central bank has already given the deal a thumbs up.
06/08/2016
They are leaders who have demonstrated tremendous professional expertise, collaborative spirit and dedication to the firm’s core values of Passion, Integrity, and Stewardship.”
06/08/2016
“This is a game changer, where 50 percent of your business on average will be impacted.”
06/08/2016
The law firm said that it has made an extraordinary effort to comply with NML’s various requests and has never been accused of wrongdoing by any court.