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.
04/16/2014
Disclosure requirements mandated by the Dodd-Frank Act have made hedge funds more transparent than registered investment vehicles such as mutual funds and exchange-traded funds.
04/15/2014
He has spent 26 years at the firm
04/15/2014
Both Shrem and Faiella face charges of money laundering, conspiracy and failing to file suspicious activity reports
04/15/2014
Federal Reserve Chair Janet Yellen said Tuesday that the largest U.S. banks might need to hold additional capital to withstand periods of financial stress.
04/15/2014
The Securities and Exchange Commission charged a San Diego financial advisory firm with hiding from its clients kickbacks it received from a fund-management firm that it owned.
04/15/2014
New York's top financial regulator has sought numerous documents from Credit Suisse Group AG as it ramps up a continuing tax-evasion probe of the Swiss bank.