11/05/2014
The decision came after Martoma, 40, hired a prominent lawyer, Paul Clement, to urge the court to consider his bail request after U.S. District Judge Paul Gardephe in Manhattan rejected a similar motion last month.
11/04/2014
Firm accuses Camelot Wealth Management of unlawful practices in hiring of two former Schwab advisers
11/04/2014
Jury acquits ex-UBS exec in IRS probe
11/04/2014
In the clubby world of Wall Street, Jefferies Group LLC is the aggressive upstart that relishes taking on the bigger, more established firms by following its own rules.
11/04/2014
JP Morgan Chase, the largest bank in the US, has revealed it is under investigation over currency trading.
11/04/2014
With the Bank of America settlement, the California Public Employees’ Retirement System said it has now recovered more than $500 million from its investments in bad mortgage securities.
11/04/2014
Ropes & Gray proudly announces that 20 attorneys have been named partners of the firm, effective November 1. In addition, the firm named two attorneys as counsel.
11/03/2014
The acquittal was a setback in the seven-year, U.S. campaign to curtail offshore tax evasion.
11/03/2014
U.S. authorities are investigating London-based Standard Chartered Plc for potential U.S. sanctions violations connected to its banking for Iranian-controlled entities in Dubai, according to people familiar with the probe.
10/31/2014
Federal Reserve Chair Janet Yellen has her work cut out for her if she hopes to change the culture at the world’s most important central bank.
10/31/2014
Joseph B. Galbraith received $1.5 million from Credit Suisse in January
10/31/2014
Our clients are very gratified by the SEC's decision
10/31/2014
Weil's main defense has been that these efforts were done by people below him
10/30/2014
The U.S. Securities and Exchange Commission charged Sands Brothers Asset Management LLC with custody rule violations for the second time in four years.
10/30/2014
After appearing yesterday in federal court in Bridgeport, Herzing was released on a $5.6 million bond, $2.6 million of which is secured by his home, Deirdre Daly, the U.S. attorney for Connecticut, said in a statement.
10/29/2014
The SEC has filed insider trading charges against a New Jersey-based hedge fund manager who allegedly used material, nonpublic information to trade in advance of market-moving news concerning Carter's Inc.
10/28/2014
Censures and fines involve Merrill's ‘business that clears trades for market makers,’ not Merrill's wealth management business
10/27/2014
Private equity and hedge fund managers, prodded by their institutional clients, are taking compliance more seriously as federal examiners and enforcers up their game targeting practices they say put investors at a disadvantage.
10/27/2014
A final piece of Bank of America Corp's record $16.7 billion toxic-mortgage settlement is being held up by an internal fight at the U.S. Securities and Exchange Commission
10/27/2014
Former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than USD840,000 and accept securities industry bars in order to settle the Securities and Exchange Comission’s (SEC) insider trading case against him.