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
02/09/2015
Investors have lost billions of dollars in the UBS funds
02/09/2015
The settlement is an important milestone in the SEC’s ability to obtain documents from China
02/09/2015
Currency-linked investments marketed by Barclays Plc. and UBS are under the scanner of the US Department of Justice
02/09/2015
Apex provides comprehensive wealth reporting and related administrative services for affluent investors with complex portfolios.
02/06/2015
Had the case been successful, claimants were planning on suing Mishcon for 'a sum in excess of £10m for consequential losses'
02/06/2015
The Securities and Exchange Commission today announced it has achieved an emergency asset freeze and temporary restraining order against Jacob Keith Cooper and his investment firm Total Wealth Management.
02/06/2015
The SEC alleges that John Gray, then an analyst at Barclays Capital, and his friend Christian Keller traded on confidential merger information
02/06/2015
A Swiss banker charged three years ago in New York with helping Americans evade taxes was arrested in Germany and faces extradition to the U.S.
02/06/2015
Former SAC Capital Advisors portfolio manager Noah Freeman is now a "freeman."