04/30/2014
The founder of a Swiss trust company that federal prosecutors say worked with Credit Suisse Group AG to help American clients evade taxes is expected to plead guilty today in Virginia, according to court records.
04/29/2014
Companies that have a WKSI status enjoy numerous benefits
04/29/2014
A New York money manager pleaded guilty to running a $96 million Ponzi scheme that was used to buy luxury homes and cars and to finance an unprofitable 117-unit resort in eastern Long Island, prosecutors said.
04/29/2014
The U.S. House passed a bill that would exempt some debt securities from the Volcker Rule, signaling that regulators would have support if they grant banks a similar exception.
04/28/2014
US criminal prosecutors have flown to London to question individuals as part of their probe into the alleged rigging of foreign exchange rates in a sign that the stakes are getting higher for the traders involved in the sprawling probe.
04/28/2014
The settlement is the latest move in Mr. Schneiderman’s broader crackdown on the Wall Street executives
04/28/2014
Three former Barclays Plc derivatives traders in New York were charged by U.K. prosecutors with manipulating Libor, becoming the first U.S.-based bankers to be accused in the British probe.
04/25/2014
Jones and Davis set up Certus in 2010
04/25/2014
FINRA passed new rules Thursday requiring broker-dealers to perform background checks on incoming brokers.
04/25/2014
Veteran federal prosecutor to join leading corporate law firm
He is currently Chief of the Securities and Commodities Fraud Task Force in the U.S. Attorney’s Office
04/25/2014
Price also agreed to not serve as an officer or director of a public company for 18 months
04/24/2014
Jose Lopez, a partner at Perkins Coie, representing Cañas, did not immediately respond to requests for comment
04/24/2014
Insurance industry wants FINRA off its turf
04/23/2014
The bank last year agreed to pay $20 million to resolve a related class action.
04/23/2014
He found that standard approaches may overstate spillovers in normal times
04/22/2014
Prosecutors say that the two were part of a “corrupt circle”
04/22/2014
Averages tell only part of the story
04/21/2014
Rengan Rajaratnam, the younger brother of imprisoned hedge fund manager Raj Rajaratnam, on Friday lost a bid to dismiss some of the insider trading charges leveled against him last year.
04/17/2014
Judge denies motion to dismiss case from pre-crisis RMBS deals
04/17/2014
This is not the same David Gottesman who is friends with Warren Buffet and a hedge fund billionaire in his own right.