02/25/2015
Swiss bank flags far lower penalty to settle U.S. tax probe
Swiss private bank said on Wednesday it expects a far lower than expected U.S. fine after coming clean on helping wealthy Americans evade taxes
02/24/2015
President Barack Obama on Monday proposed tougher regulations on investment brokers who handle retirement funds
02/24/2015
To be a good investor you have to know about the company, the industry, the macro-economics, and the legal context in which the investees operate.
02/24/2015
It also said the Commodity Futures Trading Commission had subpoenaed HSBC Bank USA for documents related to its precious metals trading.
02/23/2015
American Express Company has been found guilty of antitrust violations by a federal judge Nicholas Garaufis in New York.
02/23/2015
Two former Barclays stockbrokers can keep nearly $4 million in signing bonuses, an arbitration panel has ruled, handing down a rare rebuke of a controversial recruiting practice common among brokerage firms.
02/23/2015
Lawyers said this policy chips away at the decade-old truce among brokerages known as the Protocol for Broker Recruiting
02/23/2015
Insurance companies could struggle under proposal meant to make lenders safe enough to fail
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