Managers of Wealth Americas

SEC Issues Staff Report on Accredited Investor Definition

Staff from the Divisions of Corporation Finance and Economic and Risk Analysis prepared the report in connection with the first review of the definition.

Ex-Libor trader Tom Hayes has sentence cut on appeal

This court must make clear to all in the financial and other markets in the City of London that conduct of this type

David Haigh: Former Leeds United managing director to spend Christmas in Dubai jail after offensive tweets accusations

If convicted he faces a maximum penalty of three years imprisonment and a fine of £5,500

Son Found Fit to Stand Trial in Murder of Hedge-Fund Founder

Manhattan judge’s ruling clears the way for Thomas Gilbert Jr. to be tried

SEC Proceeding With Amended Case Against Stevie Cohen

The civil case led by the SEC has been on hold since July 2013

Shkreli 'Was Running Turing Like a Hedge Fund'

Shkreli, who caused outrage after hiking prescription drug prices, was arrested by the FBI on Thursday

Swiss “justified” in giving UBS bank data to US

UBS was fined $780 million

Rothschild agrees in US tax dispute

Banks already under criminal investigation related to their Swiss-banking activities and all individuals were expressly excluded from the program.

Report :Julius Baer Seeks Deal With US To Settle American Offshore Accounts Case

Representatives from Baer will meet with U.S. officials in the coming week for negotiations, the report said.

Finra sanctions Fidelity Brokerage Services $1 million for supervisory failures

FINRA found that Fidelity failed to detect or adequately follow up on multiple "red flags" related to Lewis's scheme

J.P. Morgan to Pay $307 Million Over Client 'Steering'--Update

A J.P. Morgan spokesman said the bank had enhanced its client disclosures over the last two years.

JPMorgan Expected To Pay Financial Regulators $200 Million Over Client Steering Allegations

JPMorgan Chase & Co. is expected to settle charges over what the bank has called "conflicts" in its asset management division.

Three further Swiss banks pay US fines

The Department of Justice has announced that Bordier & Cie Switzerland (Bordier), PBZ Verwaltungs AG (PBZ) and PostFinance AG reached resolutions under the department’s Swiss Bank Program. These banks collectively will pay penalties of more tha

Three further Swiss banks pay US fines

UBS Recruiting Ignites Raiding Claim, Spoils Credit Suisse-Wells Fargo Deal

The arrangement with Wells Fargo gives the wirehouse the inside track on Credit Suisse's U.S.-based advisors.

Ex-Rabobank Traders Call Libor-Rigging Evidence Tainted

The defendants argued the prosecution was tainted because of testimony by the government’s star witness

State brass slaps money managers with fine

Suspect or not, the state officials believe Everest used misleading language in their ads and infomercials

Hedge Fund Manager Pleads Guilty In $59M Fund Collapse

Owen Li surrendered Wednesday morning shortly after the criminal information was filed

Toronto Advisor Wanted in Random Attack

Low interest rates and weak personal income growth spell bad news for employees’ retirement accounts

Big law firm with Denver officer completes its largest merger ever

The deal adds 58 partners, six counsel and 18 associates to Fox Rothschild.

Legal, Regulation & Compliance