12/29/2014
Hedge fund insiders are known to consider questionable performance results that delivers profits across all market environments and fail to experience negative drawdowns or downside volatility.
12/25/2014
Debt raters failed to follow their own methodologies, let senior credit officers view market-share data and allowed a trade group to affect criteria changes
12/24/2014
With the appraisal, Highland Capital used the property as collateral against a $540 million loan.
12/24/2014
The consent order reveals that between June 1, 2007,and May 31, 2010, RBC entities executed 1,026 such transactions
12/24/2014
The proposed enforcement action comes as the bank's parent company, American Bank Holdings Inc., works toward an announced merger
12/24/2014
For Centuries the Inner Workings of the Vatican Bank have been Cloaked in Secrecy
12/23/2014
Picard has raised much of the cash with lawsuits against former Madoff customers
12/23/2014
The SEC accused F-Squared of falsely advertising a successful seven-year track record for AlphaSector.
12/23/2014
F-Squared Investments Inc, one of the largest marketers of investment products using exchange-traded funds, has agreed to pay $35 million to settle U.S. regulatory charges that it defrauded investors through false performance advertising.
12/23/2014
The SEC’s investigation, which is continuing, is being conducted by Lance Jasper and Spencer Bendell in the Los Angeles Regional Office.
12/23/2014
The Securities and Exchange Commission today charged a California-based attorney and his wife with insider trading on confidential information obtained from a corporate client.
12/23/2014
The agency obtained a court order to freeze assets in the U.S. brokerage accounts used to conduct the trading.
12/23/2014
A former Edward Jones financial advisor allegedly stole more than $160,000 from a disabled client, according to federal authorities.
12/23/2014
A plan by the U.S. Securities and Exchange Commission to widen the minimum trading increments of some small-cap stocks to test if that would spur more trading could end up harming mom-and-pop investors
12/22/2014
The courtroom victory of the only Swiss banker to beat the U.S. in a trial over offshore tax evasion may embolden other indicted financial workers to leave a legal limbo some have occupied more than five years.
12/22/2014
Lawyers from Mayer Brown, Sidley Austin and Ogletree Deakins all give back in different ways
12/21/2014
Scotiabank announced today that its subsidiary in Peru has reached an agreement to acquire the retail and commercial banking operations of Citibank in Peru, subject to regulatory approval.
12/21/2014
Megabank JPMorgan Chase & Co. Chase has had to deal with numerous regulatory and criminal problems over the last decade.
12/19/2014
Two brokerage units of Wells Fargo & Co must pay a joint $1.5 million fine for failing to comply with anti-money laundering regulations by not verifying 220,000 new accounts during a nine-year period, the Financial Industry Regulatory Authority (FINR
12/18/2014
The firm failed to properly vet some 220,000 new client accounts, Finra said