Managers of Wealth Americas

SEC Charges Four in California Insider Trading Ring

The SEC alleges that John Gray, then an analyst at Barclays Capital, and his friend Christian Keller traded on confidential merger information

Wegelin Banker Facing U.S. Tax Charge Said to Be Arrested

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.

Former SAC Capital hedge fund manager Noah Freeman gets 'freedom’

Former SAC Capital Advisors portfolio manager Noah Freeman is now a "freeman."

Ex-wealth manager back in news

He failed to attend two court appearances in December of 2014

OSC proposes new whistleblower program for public comment

Under the program, an employee or individual with credible concerns, would be eligible to receive a financial award

Harwood Feffer LLP Announces Investigation of Advent Software, Inc.

Harwood Feffer LLP is investigating potential claims against the board of directors of Advent Software, Inc.

K&L Gates Ranked Among Top 10 Firms for Superior Client Service

Based on direct, unprompted feedback from more than 300 Global 500 and Fortune 1000 corporate counsel.

K&L Gates Moves Into Top 10 on U.S. Law Firm Brands Ranking

K&L Gates LLP has been recognized as one of the 10 strongest U.S. law firm brands

California Pensions to Recover $320M from S&P

The California Public Employees’ Retirement System and California State Teachers’ Retirement System are set to recoup more than $320 million from credit rating agency Standard & Poor’s and its parent company McGraw Hill Financial.

UBS Bank Escapes From Class Action

A federal judge dismissed a class action claiming Swiss banking giant UBS made billions of dollars by improperly closing accounts of secret account-holders, including those of a former Indonesian vice president.

JPMorgan to pay $99.5 million to resolve currency rigging lawsuit

Investors including hedge funds, pension funds and the city of Philadelphia accused the 12 banks, which controlled 84 percent of the global currency trading market

Caplin & Drysdale Elects Three New Members

Caplin & Drysdale today announced that Dianne C. Mehany, Matthew T. Sanderson, and Brendan M. Wilson have been elected Members of the Firm.

U.S. Bancorp Turns to Young Employees for Digital Banking Advice

It's like getting into the Harvard of employee focus groups.

Oppenheimer to pay $20 mln to settle with U.S. over improper stock sales

Oppenheimer & Co will pay $20 million to settle two U.S. government cases

BNY Mellon May Face Bribery Charges Over Sovereign Wealth Funds: Filing

A case from the SEC would be the first to come from a long-running investigation into banks' dealings with sovereign wealth funds.

Jersey signs Asset Sharing Agreement with USA

The consistent and reliable cooperation we receive from our counterparts in Jersey has been indispensable to our efforts

Banks face expensive US tax ‘holding pattern’

The programme ground to a halt last autumn after a row over small print with the Department of Justice (DoJ).

Big Banks Lose Bid To Dismiss U.S. Currency Manipulation Lawsuit

A federal judge on Wednesday said U.S. investors may pursue a nationwide antitrust lawsuit accusing 12 major banks of rigging prices in the $5.3 trillion-a-day foreign exchange market.

Former J.P. Morgan Rep Barred, 2 Others Suspended and Fined

FINRA ejected a former J.P. Morgan Securities registered rep from the industry this month for allegedly forging a customer's signature on bank withdrawal slips

Reconciling Regulatory Requirements in Cross-Border Derivatives Takes Center Stage

Both sets of regulations seek to fulfill the Group of 20 (G-20) derivatives reform agenda, announced at the 2009 Pittsburgh Summit, which includes regulating dealers, clearing and trading (including trade reporting), mitigating systemic risk and protectin

Legal, Regulation & Compliance