04/22/2015
While it’s too early to report specifically where Raymond James stands on the new proposal, Curtis said on the surface, the new DOL proposal appears to be significantly better than the one put forward in 2010.
04/22/2015
New York's banking regulator will not settle with Barclays Plc over foreign exchange trading in coming weeks
04/22/2015
The CFTC has issued a complaint alleging that Florida resident Dorian Garcia returned nearly $2.1 million to investors
04/22/2015
Lawsky’s remarks Tuesday at a conference in New York represent a departure from his position in November
04/22/2015
The alert also provides a sample document request that lists six primary areas that the OCIE plans to evaluate during cybersecurity exams
04/22/2015
Prominent Insurance Attorney Joins Baker & McKenzie
His insurance practice includes matters related to oil and energy for mutuals
04/22/2015
The CFTC Complaint charges the Defendants with engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis.
04/22/2015
The CFTC Complaint charges the Defendants with unlawfully manipulating, attempting to manipulate, and spoofing — all with regard to the E-mini S&P 500 near month futures contract
04/22/2015
The Custody Risk Americas Awards 2015, hosted by Custody Risk Magazine, took place at the Marriott Marquis in New York City.
04/22/2015
The securities arbitration claim alleges that the Claimant is a retiree who lives on a fixed income
04/22/2015
Timely access to insured deposit is critical to maintaining public confidence in the banking system
04/22/2015
O’Keefe is a highly distinguished member of the financial and legal community
04/22/2015
“The addition of Paul and Paulita to our Chicago office further aligns with the firm’s core strength in the investment management space and adds substantial depth of experience to our Midwest and national service offering,” said Asheesh
04/22/2015
The firm and its investment adviser and investment fund clients will benefit from his extensive experience with securities law and policy issues relating to the investment management industry.
04/22/2015
Christopher Cafaro, Grace Cucchissi, and King led the prosecution for the U.S. Attorney’s office
04/21/2015
A top senior compliance officer at BlackRock Advisors at the time, Bartholomew Battista, agreed to a related $60,000 penalty, the SEC said.
04/21/2015
Trading in the alternative-energy company’s stock was halted Monday morning after falling 22 percent at 10:21 a.m.
04/21/2015
Clyde & Co is delighted to announce 24 partner promotions across its international network
04/21/2015
The Federal Reserve, criticized by lawmakers for being too cozy with Wall Street
04/20/2015
GE Capital saw the writing on the wall: Opportunities to innovate and compete would be smothered over time.