Managers of Wealth Americas

Puerto Rico Investors Win Relief From UBS

Cases were decided by arbiters from Finra

Credit Suisse, Barclays in Talks to Settle ‘Dark Pool’ Allegations

U.S. regulators could levy large fines over alleged wrongdoings

Disclosing CEO-worker pay gaps makes no sense for Wall Street banks

The pay gap rule has already received criticism for a number of reasons.

New OCC Task Force on Banking Innovation

We’re still early in the process, so I can’t tell you exactly where we’ll end up

Ex-Wells Fargo Compliance Officer Spared Penalty in U.S. SEC Case

But SEC Administrative Law Judge Cameron Elliot, who presided over a trial before the agency's in-house court

'Money Guys' firm sues Maryland securities division

In June, Frosh's office said it wanted to permanently bar "Money Guys" infomercial star Philippe Rousseaux from offering investment services in Maryland.

Ruling Expected Soon in Challenge to NYC Banking Law

The outcome could be an important precedent in relation to similar laws in other cities.

U.S. Judge Hands SEC Setback Over In-House Judges

It is also at least the third federal court decision since June to question the constitutionality of how the SEC's five administrative law judges are appointed.

The SEC moves to mandate wealth shaming on American corporations

The reasons for this seem clear from the social justice perspective, while not apparently having anything to do with the proper regulatory duties of the SEC.

U.S. Probes Och-Ziff Africa Deal Tied to Mugabe

Hedge-fund firm is in talks to settle broader investigation into its business dealings in Africa

Former Wilmington Trust President, 3 Others Indicted

Robert V.A. Harra, former CFO David Gibson and former credit chief William North charged

White Collar Crime Isn't What it Used to Be

The family in charge of the Modell's Sporting Goods store chain is in a legal spat

Everest investment advice business sues Maryland attorney general's securities division

Maryland Attorney General Brian E. Frosh sought to close Rousseaux's business with an order to show cause in June.

ASIC urged to clamp down on 'ginormous' private equity fees

The Australian Securities and Investments Commission is set for a broader clampdown on fees disclosed in product disclosure statements.

Florida Accounting Firms Merge

The combination deepens the firm’s capabilities and expands its presence in the South Florida marketplace.

'Fugitive' ex-UBS trader cannot escape U.S. case over Libor: judge

Darin's lawyers argued he was not a fugitive since he had never fled

US hedge fund Citadel embroiled in China's trading probe

One of the Chicagobased hedge fund's jointventure managed accounts has been suspended by the Shenzhen Stock Exchange, making it the first foreign victim of China's crackdown on shortselling.

JPMorgan Questioned on Private Bank’s Hedge Fund Disclosures

The firm is responding to and cooperating with the relevant authorities

FINRA Fines Aegis Capital

FINRA Fines Aegis Capital Corp. $950,000 for Sales of Unregistered Penny Stocks and AML Violations

Crédit Agricole in ‘Advanced’ Talks on U.S. Sanctions Settlement

As a result, Crédit Agricole said that it was setting aside an additional provision of 350 million euros

Legal, Regulation & Compliance