05/26/2014
A lawsuit filed on Friday alleges that Goldman Sachs Group Inc, JPMorgan Chase & Co, the London Metal Exchange and metal warehouse operators have conspired since 2010 to manipulate the price of zinc in the United States.
05/23/2014
Seasoned Government lawyer joins leading global law firm
He joins from the United States Attorney's Office, Eastern District of New York (EDNY), where he was a Deputy Chief of the Business and Securities Fraud Section.
05/23/2014
Shares at the bank are down 4% this week and may fall more
05/23/2014
The four Cohens and Topal agreed to settle the SEC’s charges by paying a total of more than $500,000
05/22/2014
U.S. regulators are investigating Charles Schwab Corp. and Bank of America Corp.'s Merrill Lynch brokerage over whether they are doing enough to learn about their clients' identities.
05/21/2014
U.S. authorities are seeking more than $5 billion from BNP Paribas SA to settle federal and state investigations into the lender’s dealings with sanctioned countries including Sudan and Iran
05/21/2014
Top financial regulators are considering adding large mutual funds, hedge funds and private equity firms to the list of institutions that are officially “too big to fail,” and some of those money managers pushed pack this week.
05/20/2014
FSOC meeting to explore the activities and potential risks in the asset management industry
05/19/2014
The sentencing caps one of the biggest victories for prosecutors who spent seven years investigating the firm and its boss, Steven A. Cohen.
05/19/2014
It was not immediately clear why prosecutors decided to abandon the additional counts
05/19/2014
The rich are going to be heavily impacted by ongonig regulatory change
An international law firm network has canvassed its members to see what trends are predicted for the next 20 years.
05/16/2014
A federal U.S. judge on Thursday denied a request for a new trial made by three former UBS AG bankers who were convicted of rigging bids to invest municipal bond proceeds.
05/16/2014
FINRA said Imbertson placed hundreds of unauthorized trades on accounts
05/16/2014
The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that wasn’t registered as a broker-dealer as required under the federal securities laws.
05/15/2014
The document did not describe why staffers chose to highlight BlackRock Solutions
05/15/2014
Citigroup Inc., the U.S. bank investigating a $400 million loan fraud at its Mexico unit, fired 11 people for failing to prevent or discover the wrongdoing and said more will face punishment.
05/15/2014
The US Justice Department is seeking tough criminal penalties against European giants Credit Suisse and BNP Paribas as prosecutors aim to demonstrate that no institution is "too big to jail."
05/15/2014
The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered broker-dea
05/13/2014
The Securities and Exchange Commission scored a victory on Monday as a jury said the wealthy Wyly brothers committed civil fraud using a complex web of offshore trusts to hide stock sales and reap $550 million in profits.
05/13/2014
The SEC’s investigation was conducted by Janet Weissman and Alka N. Patel of the Los Angeles Regional Office