10/13/2014
A fired Toronto Dominion Bank executive who authorities say kept Fort Lauderdale lawyer Scott Rothstein’s $1.2billion Ponzi scheme alive until the end was arrested Friday on fraud charges.
10/13/2014
Traders and investment bankers would have an incentive to make sure the risks they took were reasonable and wouldn't bring down their firms (or the rest of us) in the future.
10/12/2014
A former top-level UBS banker will stand trial in the United States this week accused of helping rich Americans evade millions of dollars in taxes.
10/10/2014
A current and a former unit of E*Trade Financial Corporation will pay $2.5 million to settle charges that they ignored red flags and improperly sold billions of unregistered penny stock shares on behalf of customers, U.S. regulators said on Thursday.
10/10/2014
A New York-based hedge fund and its founder has been banned from trading securities in Hong Kong for four years after admitting to insider trading of Chinese banking equities.
10/09/2014
The proposed deal, disclosed in court papers filed in New York federal court, is the first such settlement of private litigation in the United States against various banks accused of manipulating the London Interbank Offered Rate.
10/09/2014
Ephren Taylor, II, has pleaded guilty to conspiracy to commit mail and wire fraud by defrauding hundreds of victims of their retirement savings.
10/08/2014
On behalf of the private investment funds industry and other growing businesses the HFA offers the SEC alternative solutions to avoid stifling job creation and capital formation
10/08/2014
A former UBS AG wealth management and banking head charged with helping U.S. taxpayers conceal their assets wants two public reports from Swiss banking authorities to be included in his trial.
10/08/2014
Outgoing Attorney General Eric Holder and his former No. 3 Tony West have dominated the limelight following multibillion dollar settlements against JPMorgan Chase & Co.
10/08/2014
The SEC receives thousands of whistle-blower tips every year
10/08/2014
Elite private banking duo to fight back
The elite private banking duo may take legal action accusing the firm of wrongful termination for their firing last month, their attorney says
10/07/2014
A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary duties survived a motion to dismiss.
10/07/2014
The Justice Department is preparing a fresh round of attacks on the world’s biggest banks, again questioning Wall Street’s role in a broad array of financial markets.
10/06/2014
Veteran prosecutor Richard Gregorie recommended Perez's reduction after noting that he “has been cooperating with federal law enforcement officers since prior to his first indictment in June of 2010” on securities fraud, according to a co
10/06/2014
Integrity has to be put back at the heart of businesses.
10/06/2014
Three hedge fund managers have been arrested in connection with a $40 million investment fraud conspiracy
10/02/2014
Texas is a hub for real estate, litigation, energy and corporate work
10/02/2014
Citigroup Inc. has had restrictions lifted by the Securities and Exchange Commission that will allow the bank to sell investments in hedge funds and private equity funds to its wealthy clients, among other activities.
10/02/2014
Buckhannon, who was arrested by FBI agents in Henderson Tuesday, pleaded not guilty at an arraignment Wednesday before U.S. Magistrate Judge George Foley. He was released on a personal recognizance bond pending trial.