05/07/2015
Four of the bank's former top executives were hit Wednesday with federal allegations they engaged in conduct that hid the true extent of the bank's troubled loans during the economic crisis of the last decade
05/06/2015
A former top executive of the failed Connecticut hedge fund firm New Stream Capital LLC was sentenced on Tuesday to 2-3/4 years in prison
05/06/2015
Lawsuit alleges retail bank employees were pressured to commit fraud to meet sales targets
05/06/2015
JPMorgan Chase & Co. received subpoenas and inquiries from the U.S. Securities and Exchange Commission and other regulators about how it sells its own mutual funds and other proprietary products.
05/06/2015
Global law firm Nabs Kirkland Partners For NY And DC
Has recruited two Kirkland & Ellis LLP real estate partners experienced in real estate private equity
05/05/2015
The U.S. Supreme Court on Monday allowed Barclays Plc to claim about US$4 billion of disputed assets
05/05/2015
Broadening its real estate expertise, King & Spalding has recruited Jennifer Morgan to its New York office and Chris Hoffman to its Washington, D.C. office as partners in its real estate practice
05/05/2015
Regulators have already fined six major banks including UBS a total of US$4.3 billion
05/05/2015
The government and HSBC seek 30 days to comply, saying they may need to request that the report be filed under seal, or with redactions.
05/04/2015
Prosecutors said BNP also evaded sanctions against entities in Iran and Cuba
05/04/2015
The Securities and Exchange Commission, in compliance with the Dodd-Frank Act, proposed new rules Wednesday that are designed to help shareholders evaluate the connection
05/01/2015
Wall Street's Regulatory Chief Says Data Collection Plan on Hold
Ketchum could face some tough questions from Republicans on a House of Representatives financial services panel over FINRA's plan
04/30/2015
U.S. regulator charges firm that put money with SAC, Paulson funds
An investment firm that funneled client money into some of the world's hottest hedge funds, including SAC Capital and Paulson & Co, on Wednesday agreed to shut down and pay nearly $700,000 in fees and penalties
04/30/2015
Steven Kantor, Cantor Fitzgerald LP’s former head of investment banking, sued the bond brokerage in a contract dispute
04/30/2015
A federal judge has dismissed lawsuits accusing several major U.S. exchanges of cheating ordinary investors by selling early access to market data to high-frequency traders
04/30/2015
Rules Would Provide Greater Transparency and Better Inform Shareholders
04/30/2015
After establishing a global two-tier panel last year, Barclays has launched a procurement process to formalise its flexible resourcing usage and establish its first contract-lawyer only panel.
04/30/2015
The SEC also accused the firm’s outside auditor, Simon Lesser
04/30/2015
Ken’s knowledge and extensive experience of working within the US markets and beyond will be invaluable as we look to grow our practice across the continent
04/30/2015
In the first case of its kind, the U.S. Securities and Exchange Commission awarded a payment to a whistleblower after he experienced retaliation from his employer after he reported alleged misconduct.