08/18/2015
N.J. hedge fund manager cleared of Carter's insider trading charges
It came as prosecutors are facing increasing challenges in their ability to pursue insider trading cases
08/18/2015
It came as prosecutors are facing increasing challenges in their ability to pursue insider trading cases
08/14/2015
The wide range of participants at the hearings was further testament to the breadth of its potential impact
08/14/2015
The regulator claims, because of the pricing-related fraud, Edward Jones customers paid at least $4.6 million more than they should have when purchasing new bonds
08/14/2015
As the complaint details, the conspiracy affected dozens of currency pairs
08/14/2015
Banks accused of foreign exchange rate rigging have agreed to pay major sums of money in settlements to investors
08/13/2015
ITG agreed to admit wrongdoing and pay disgorgement of $2,081,034
08/13/2015
Hackers, Traders Allegedly Reaped More Than $100 Million of Illegal Profits
08/13/2015
The SEC’s order finds that Garcia violated the anti-bribery and internal controls provisions of the Securities Exchange Act of 1934.
08/12/2015
This case is being investigated by the FBI’s San Juan Division
08/12/2015
His decision is significant because many SEC cases arise from activities in the financial services industry in Manhattan, and sets a precedent for judges in his court.
08/12/2015
If the shares are not delivered by the appropriate date, SEC's Reg SHO requires the firm to take affirmative action to close out the failure to deliver by purchasing or borrowing the securities
08/12/2015
Bloom’s crimes were largely committed at North Hills
08/12/2015
Hoffman said in an interview that she will propose increasing the so-called "social contribution of net income" tax rate
08/11/2015
The utility of postnuptial agreements
08/11/2015
Plaintiffs accuse firm of receiving almost half of the management fees while a sub-adviser did most of the work
08/11/2015
The SEC order also found that Guggenheim improperly charged a client $6.5 million in asset management fees
08/11/2015
According to his plea agreement, Movalia “made material misrepresentations and omissions through OM Investment Management
08/11/2015
The preliminary settlement was filed in Manhattan federal court and requires court approval.
08/11/2015
Ostensibly a tool for institutional investors, it will more likely be used as raw meat for sensationalist media headlines
08/11/2015
He seems like an American success story: an ambitious Russian who came to the U.S. and went from business school to Wall Street to his own hedge fund.