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.
06/08/2016
The SEC asked a federal judge in Massachusetts on Friday to approve the settlement agreement.
06/08/2016
Dentons lawyer denied involvement, threatened lawsuit before letter was public
06/07/2016
Ludwin told listeners they should be “running toward this opportunity.”
06/07/2016
Fintech companies want a less-regulated environment to test new consumer products.
06/07/2016
Disclosure incidents can involve allegations from disputes headed for arbitration to illegal conduct.
06/07/2016
The Law expands the definition of what collateral can be secured, allowing security interests to be created over previously unsecurable collateral.
06/07/2016
Upon the closing of the transaction, senior management at each of the firms will continue to hold an unchanged majority of the equity in each respective business and retain operating autonomy in the business under the same terms as the prior arrangements
06/06/2016
The Fed’s rule-writing process is at an early stage that’s meant to draw public comments to help the regulators craft a more formal plan.