Managers of Wealth Americas

OCC Fines Ex-Rabobank Counsel $50,000 for Concealing AML Report

On February 7, 2018, the Bank pled guilty to conspiracy

Trump sues Congress, New York to keep his tax returns a secret

The lawsuit seeks to stop a law passed in New York state from taking effect

B&J Financial Services Joins Forces with North Texas Accounting and Advisory Firm

Our new partnership with Saville provides an even stronger foundation for client and family continuity for generations to come.

Fidelity at center of new strategy for ERISA breach lawsuits

Plaintiffs alleged that Fidelity is a fiduciary and is charging "secret" fees; Fidelity responded that it discloses the fees and that it isn't a fiduciary.

Why US regulators are struggling to step up to regulate Facebook's Libra

Facebook, which is spearheading Libra’s development via a new subsidiary called “Calibra,” has also gathered a consortium of companies that will supposedly have equal commitments with Facebook

Merrill Lynch Hit with $40 Million Settlement and Faces Further $42 Million From Similar Claim

Levine’s settlement is apparently the largest involving an individual claimant in the last decade, Craig McCann, principal of Securities Litigation and Consulting Group, tells CNBC.

SkyKnight Invests in Heffernan Insurance Brokers to Support the Platform’s Continued Growth

Heffernan has grown revenue to over $100 million, primarily through organic growth along with selected acquisitions.

SEC to extend Mifid exemption for US brokers’ research

Banks will not have to register as investment advisers under EU rules

Combating financial crime - KPMG

3 focus areas for banks to achieve more effective and efficient customer due diligence

What you need to know about the mammoth EU-Mercosur trade pact

EU representatives made their motives clear in statements immediately following the negotiations.

Dickinson Wright Receives Top Rankings

Five Dickinson Wright attorneys are listed as "Leaders in their Fields"

Madoff Investor Kingate to Pay Back $860 Million

Settlement wraps up one of the largest remaining disputes in liquidation of Bernard Madoff’s Ponzi scheme

Payoffs, glory-seeking Feds, and hiding in plain sight — here's what 5 experts told us about the $1 billion cocaine bust on a ship owned by JPMorgan

The drugs are worth way less than $1 billion

Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million

The SEC alleges that AR Capital, Schorsch, and Block, acting in breach of the relevant proxy disclosures, inflated an incentive fee in both mergers

Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges

The SEC’s orders further find that Nomura lacked compliance and surveillance procedures that were reasonably designed to prevent and detect this misconduct, which inflated the firm’s profits on CMBS and RMBS transactions at its customers&r

Is blue sky compliance like the SEC or the IRS?

The states were allowed to require a notice filing, which means you are not actually registering, but giving notice of intent to sell in the state.

IRS Crime Unit Marks 100 Years Of Following The Money And Tackling Crime

Charged with pursuing tax crimes, one of those first agents, Elmer L. Irey, would lead the new crime fighting unit and change history.

Neal Gerber Eisenberg Private Wealth Practice Group and Three Attorneys Ranked in the Chambers High Net Worth 2019 Edition

Chambers & Partners, one of the world’s leading legal directories, conducts independent research that relies on feedback from industry leaders and clients to identify the top attorneys and law firms from around the world.

Merrill Lynch fined W175 mil. for high-frequency trading

The securities firm used algorithm-based trading through direct market access.

Wells Fargo tempers cost-cutting outlook

“We’ve seen a greater need for us to make investments in terms of risks, compliance and audit, all those things that we’re going to need to make investments in, in order to satisfy the requirements of our regulators,” said Interim

Legal, Regulation & Compliance