06/30/2014
The lawsuit listed several problems with the dark pool POOL -1.57% – called Barclays LX (Liquidity Cross) alternative trading system – such as falsifying data about the concentration of high-frequency traders in the private market,
06/27/2014
The bank is cooperating with Schneiderman’s office and is examining the matter internally
06/26/2014
Barclays has been sued by the NY attorney general over claims it duped people into investing in its dark pools. Here is what the British bank is accused of
06/26/2014
Barclays has been sued by the NY attorney general over claims it duped people into investing in its dark pools. Here is what the British bank is accused of
06/26/2014
US Justice Department fines former Credit Suisse banker for hiding $100m losses
Former Credit Suisse banker pleaded guilty to charges of falsifying the lender's records
06/26/2014
Regionally, 29% of the promotions are in Asia Pacific; 32% are in Europe, Middle East and Africa; 14% in Latin America; and 25% in North America. 28% of those promoted to partner are women.
06/26/2014
The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted in 2010
06/26/2014
Ordered to Pay $13.7 Million in Restitution; Majority of Defrauded Investors Were NFL and NBA Players
06/25/2014
Royal Bank’s failure to disclose its conflicting interests in the $17.25-a-share sale was “pretty egregious”
06/25/2014
Law Firm Expands Client Practice in South Florida
He concentrates her practice in the areas of estate planning, guardianship administration, probate administration, and trust administration. She works with non-traditional families regarding all types of estate planning issues and also drafts pre- and pos
06/25/2014
Citigroup and Three Others Must Revamp Proposals in Wake of Failed 'Stress Tests'
06/25/2014
BNP Paribas SA is relocating its US sanctions compliance operations to New York from Paris.
06/24/2014
The Securities and Exchange Commission today charged a West Palm Beach, Fla.-based hedge fund advisory firm and its founder with fraudulently shifting money from one investment to another without informing investors.
06/24/2014
International law firm opens two US offices
The offices, in Palo Alto and New York, will both open in September this year.
06/23/2014
The New York Department of Financial Services has also demanded the firings of 30 employees said to be involved in the allegedly illicit trades
06/23/2014
One of the hallmarks of this industry is the rich vein of innovation that runs through it
06/20/2014
An investor must wonder: What is all of this?
06/17/2014
BofA's Merrill fined for mutual fund overcharges
Bank of America Corp's Merrill Lynch unit was fined $8 million and will reimburse $24.4 million to customers to settle allegations that it overcharged more than 47,000 retirement accounts and charities that invested in mutual funds.
06/17/2014
The trusts sued Merrill Lynch Mortgage Lending Inc. in New York State Supreme Court in Manhattan in December 2012, seeking to force it to buy back allegedly misrepresented loans.
06/13/2014
The Office of the Comptroller of the Currency (OCC) is issuing interim procedures for examiners to assess banks’ progress in developing a framework to comply with requirements of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protecti