02/23/2015
The Securities and Exchange Commission (SEC) also accused him of inflating the fees to client accounts to pay for his legal and other expenses without telling his investors.
02/22/2015
Elizabeth Murphy, an associate director for the Securities and Exchange Commission's Corporation Finance division, revealed the agency's plans Saturday
02/20/2015
The Federal Reserve has approved IberiaBank's plan to purchase Florida Bank Group for $90 million in cash and stock
02/19/2015
Firms generally require the value of securities in margin accounts to stay above a certain amount
02/19/2015
Chikara FX, a firm which provides provides offshore futures and commodities, is not licensed by the Ontario Securities Commission to carry out business in the Canadian province of Ontario
02/18/2015
Federal regulators plan to finalize rules governing employee compensation on Wall Street, potentially concluding one of the most divisive outstanding issues in financial reform.
02/18/2015
FTI Consulting has announced that FTI Consulting was honored by the 9th Annual M&A Advisor Turnaround Awards for the highest levels of performance during 2014 in the distressed investing and reorganization industry, covering lower middle market to mul
02/16/2015
The judge also dismissed a claim that Schneiderman brought under a separate state law.
02/16/2015
Malik, who also allegedly used some of the money to find a spouse, is being held on $1 million bond over $1 million cash bail
02/16/2015
DelBello, Donnellan, Weingarten, Wise & Wiederkehr, a prominent New York metropolitan area law firm, has announced the expansion of its estate practice to be headed by Westchester County Surrogate Judge Anthony A. Scarpino Jr.
02/16/2015
The asset freeze “had a crippling effect on debtor’s liquidity,” lawyers for the bank said in the filing.
02/13/2015
FINRA wants the use the information to help it analyze securities transactions from all individual U.S. brokerage accounts
02/13/2015
The Securities and Exchange Commission has approved proposed rules that would enhance corporate disclosure of company hedging policies for directors and employees
02/12/2015
US banking giant continues its strategic expansion
The move constitutes another signifcant departure in the legal team
02/12/2015
Which is bad, because that’s pretty much the whole reason one goes to—and pays—a financial adviser.
02/11/2015
A U.S. District judge last year granted a summary judgment against AUI and its affiliate
02/11/2015
The amendment eliminated a restriction on how large a discount Puerto Rico could offer buyers
02/10/2015
UBS confirms fresh tax evasion probe in the US
The Swiss bank said US regulators were investigating potential sales of so called "bearer bonds"
02/10/2015
U.S. Is Seeking Felony Pleas by Big Banks in Foreign Currency Inquiry
The pleas would be likely to carry a symbolic stigma, if limited actual fallout, in handing felony convictions to some of the world’s biggest banks.
02/09/2015
Cayman Islands-based Caledonian Bank and four other companies took more than $75 million from unregistered sales of "virtually worthless" penny stocks