01/22/2015
The Securities and Exchange Commission today announced a series of federal securities law violations by Standard & Poor’s Ratings Services involving fraudulent misconduct in its ratings of certain commercial mortgage-backed securities
01/22/2015
The case illustrates another side of organized crime
01/22/2015
The agreement is a dramatic U-turn after a bitter fight that involved claim and counterclaim by the two parties
01/21/2015
Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years
01/21/2015
Blank Rome boosts Finance, Restructuring, and Bankruptcy team
Blank Rome is a first-class firm with a top-tier professional reputation
01/21/2015
Prosecutors said Georgiou and others traded the stocks from 2004 to 2008
01/20/2015
BMO Asset Management Inc. today announced the January 2015 cash distributions for certain BMO Exchange Traded Funds that pay monthly distributions.
01/20/2015
Morgan Stanley CEO James Gorman hit important milestones in 2014, including a 20% pre-tax margin for the bank’s wealth management division, which accomplish many of the targets he initially laid out when taking the reins of the bank in the years aft
01/18/2015
Yihao "Ben" Pu was just 23 when he illegally downloaded information about algorithms developed for use in high-frequency trading by Citadel
01/16/2015
The SEC also highlighted several other violations by UBS
01/16/2015
Company officials told the regulators that the U.S. unit that manages pension plans is completely isolated from the one involved in the tax evasion case.
01/16/2015
Brokerage Employee Was Siphoning Money From Client Accounts
01/15/2015
On January 13, 2015, it was revealed that California regulators are seeking to suspend the mortgage license of OCN
01/15/2015
Citigroup Inc on Wednesday lost an appeal aiming to block Abu Dhabi Investment Authority from pursuing a second arbitration over the sovereign wealth fund's US$7.5 billion investment in late 2007 to shore up the then-struggling bank.
01/14/2015
The penalty is the SEC’s largest against a national securities exchange
01/14/2015
Mr. Rivero graduated from the Florida International University College of Law in 2005.
01/14/2015
Financial institutions today operate in a constant state of reevaluation
01/14/2015
An arbitration panel has denied U.S. brokerage firm Oppenheimer & Co's attempt to collect more than $30 million from Deutsche Bank AG related to the sale of auction-rate securities that the bank created
01/13/2015
Investments Funds will need to select appropriate accounting policies for the measurement of their investments.
01/12/2015
In Part II of the interview, the discussion will turn to the new European clearing mandates and the overall future of OTC processing.