03/30/2015
SEC charges Macquarie over public offering
The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering despite obtaining a due diligence report indicating that the China-based company’s offering materia
03/29/2015
The firms accused of misleading advertising are Merrill Lynch, Fidelity Investments, Ameriprise
03/29/2015
Fletcher has denied wrongdoing.
03/29/2015
The Attorney General's Office claims the family, known for its longtime support of local Republicans and headed by 67-year-old Claire Risoldi
03/27/2015
The amendments would enhance regulatory oversight of active proprietary trading firms, such as high frequency traders.
03/27/2015
Wall Street's watchdog sanctioned Oppenheimer & Co a total of $3.75 million on Thursday for failing to supervise a former broker
03/27/2015
New Rules Provide Investors With More Investment Choices
03/27/2015
The broker-dealer registration provisions of the securities laws ensure the protection of customers by requiring firms to undergo periodic inspections by the SEC and maintain books and records for their securities transactions.
03/27/2015
Firm Fined $400,000 and Ordered to Pay More Than $500,000 in Disgorgement; Prohibited From Participating in Secondary Offerings for Six Months
03/27/2015
Shares of Bank of America Corporation declined nearly 3% after Massachusetts imposed a penalty of $2.5 million on Merrill Lynch, Pierce, Fenner & Smith Inc.
03/26/2015
Most recently, in March 2014, a client claimed that Rosabianca represented him in the sale of his apartment
03/26/2015
According to Wall Street lore, Citadel CEO Kenneth Griffin’s marital troubles should mean he’s a bad bet. That idea needs rethinking
03/26/2015
Kicillof said the securities commission and central bank would examine the deal to determine officially if it was legal
03/26/2015
They pointed out that Peter Kim's father is Kim Baek-jun, a former presidential secretary of general affairs in the Lee administration.
03/25/2015
US regulators said two UK banks needed to improve their contingency plans in case of a catastrophic shock
03/24/2015
The matter related to an internal presentation made to Merrill executives and financial advisers about transferring client assets.
03/24/2015
With all the new laws and regulations since the financial crisis, it would be easy to believe that the banking industry is safer
03/24/2015
HSBC Holdings Plc, BNP Paribas SA and Royal Bank of Scotland Group Plc must conduct top-to-bottom rewrites of plans showing how they can be safely unwound in bankruptcy before resubmitting the living wills to U.S. regulators
03/24/2015
Total settlements dropped to $1.1 billion, from $4.8 billion in 2013, primarily due to a lack of large cases. The largest settlement amount in 2014 was $265 million, compared with $2.5 billion in the prior year. According to the report, the number of sett
03/23/2015
International law firm adds one of Nation’s top private client lawyers
She Becomes Head of New Washington, D.C. Private Client Practice