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.
04/20/2015
Government confiscated Double Eagle gold coins from Langbord family in 2004
04/20/2015
Mortgage-bond pact deal to include consumer relief, some cash
04/17/2015
The whistleblower who helped the Justice Department in its probe ended up going to jail for more than two years
04/17/2015
The Securities and Exchange Commission has charged a former investment advisor at J.P. Morgan Securities with stealing at least $20 million from customers to fund his own brokerage accounts in a scheme that spanned more than three years.
04/17/2015
The sole arbitrator in the case ruled that the firm and Weiss breached their fiduciary duty to the Sutows
04/17/2015
The DOJ and the Internal Revenue Service have vowed to “follow the money” in pursuit of additional investigations of both banks and individuals.
04/16/2015
“Saori is a well-respected bengoshi corporate partner and her expertise will be invaluable to our clients in Japan looking to expand and invest in the region.”
04/16/2015
Irving Picard, the trustee, said the request was made possible after a federal appeals court in New York ruled on Feb. 20 that victims were not entitled to "time-based" inflation or interest adjustments on their claims.
04/15/2015
In reality, Brown was not registered with the SEC, Financial Industry Regulatory Authority or any state regulator.
04/15/2015
They allege that Stanfill took their money, assured them she was investing it in legitimate accounts
04/14/2015
One of the most common hurdles to creating a tax efficient offshore IP structure is the effective transfer of the IP from the United States abroad
04/14/2015
Broker Lost at Sea? No, Just Dodging FINRA Complaint
A broker's desperate plan to escape legal issues by faking his disappearance at sea collapsed on Sunday when authorities finally tracked him down.