02/07/2014
No small degree of turmoil was unleashed in the currency trading community yesterday when it became known that Benjamin Lawsky, superintendent of the New York State Department of Financial Services, requested documents from more than 12 banks pertaining t
02/07/2014
U.S. charges Swiss asset manager in offshore tax fraud case
Paltzer agreed to cooperate with prosecutors.
02/07/2014
The underlying demand should encourage locally based firms, said Dan DiPietro, chairman of Citi Private Bank's law firm group.
02/07/2014
The CommoOver the past five years, Masters built the biggest physical commodity trading operation on Wall Street at JPMorgan, surpassing in size long-time giants Goldman Sachs and Morgan Stanley.dity Futures Trading Commission on Thursday voted on the new
02/07/2014
The Securities and Exchange Commission today announced charges against two Wall Street traders involved in a fraudulent “parking” scheme in which one temporarily placed securities in the other’s trading book to avoid penalties that would
02/06/2014
JPMorgan Chase & Co. Bear Stearns unit won dismissal of a suit brought by hedge fund SRM Global claiming it had lost more than $200 million
02/06/2014
BBH executed these transactions despite the fact that it was unable to obtain information essential to verify that the stocks were free trading.
02/05/2014
The $1.45 million penalty will be allocated between 16 women employees.
02/05/2014
The SEC noted industry trends and best practices, as well as key areas in which investment advisers’ due diligence processes tend to be deficient.
02/04/2014
He has a long history of advising on U.S. broker-dealer regulation and extensive personal experience with U.S., U.K., Swiss and other bank regulators that will be of great benefit to our regulatory practice.
02/04/2014
Attention being paid by senior management to money laundering challenges is at an all time high according to findings from a new KPMG International report.
02/04/2014
Quinn Emanuel Urquhart & Sullivan legal titan John Quinn tells The Lawyer why each associate is being handed $2,000 to spend a week working anywhere in the world. Clue: it’s not to unwind.
02/04/2014
Rule 105 prohibits any person who makes a short sale of securities during a defined restricted period prior to the pricing of that offering from purchasing the same securities in that offering.
02/04/2014
Pump-and-dump schemes are among the most common types of fraud involving microcap companies.
02/03/2014
International law firm Continues Expansion of M&A Practice
They Join New York Office from Akin Gump and Allen & Overy
02/03/2014
The most recent lawsuit forms part of a legal campaign being waged by hedge funds in various courts across the world, seeking to recoup money which was lost by betting on a decline of Volkswagen's share price in 2008.
02/03/2014
We identified global regulation and investigations as an area that is one of the greatest for clients in terms of concern, focus and spend
01/30/2014
A jury has already found Bank of America, which subsequently bought Countrywide, liable. After that decision, the judge setting the penalty asked the parties for Countrywide’s gains rather than the Fannie and Freddie’s losses.
01/29/2014
The world’s biggest banks exceed or comply with capital levels under regulators’ Basel 3 proposals five years before deadline, according to Fitch Ratings.
01/29/2014
The Office of the Comptroller of the Currency has already told banks to avoid some of the riskiest junk loans to companies, but is alarmed that banks may still do such deals by sharing some of the risk with asset managers.