Managers of Wealth Americas

SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme

Without admitting or denying the SEC’s findings, AOC and Gonzalez agreed to pay penalties of $250,000 and $40,000, respectively.

SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets

The SEC's order finds that ICO Rating violated the anti-touting provisions of Section 17(b) of the Securities Act of 1933.

JPMorgan metals trader pleads guilty to spoofing, resigns from bank

While the Justice Department did not identify the banks by name in court papers, Trunz had worked for JPMorgan since at least 2008, according to the Financial Industry Regulatory Authority’s BrokerCheck database.

DC Circuit Court Requires Subpoenaed Chinese Banks to Produce Documents in Money Laundering Case

On July 30, 2019, the US Court of Appeals for the DC Circuit unanimously upheld a district court order requiring three unnamed Chinese banks to produce financial records subpoenaed by US federal prosecutors. Although the US government does not currently s

U.S. regulators hand Wall Street a major win with stripped-down 'Volcker Rule'

Following the financial crisis, banks took important steps to recapitalize their balance sheets, restore liquidity, and improve their risk management in responsible ways.

SEC proposes amendments to disclosure requirements under Regulation S-K

The proposal will be subject to a 60-day public comment period after its publication in the Federal Register.

Hedge fund sues widow of portfolio manager who died by suicide

Visium is seeking more than $100m in repayment for money it says it paid Sanjay Valvani

13 attorneys earn recognition for family law, appellate, arbitration, mediation

The 2020 Best Lawyers accolades are the latest honors for the attorneys of the boutique Family Law firm.

Delaware Courts revive Unaffected Trading Price as indicator of Fair Value

The case concerned the acquisition of Jarden Corporation (the Company) by Newell Rubbermaid Inc at a price of $59.21 per share (consisting of cash and Newell stock).

Charles Schwab reverses out of Australia again

Charles Schwab's 2017 re-entry to Australia came on the back of it acquiring broker-dealer optionsXpress

World’s information commissioners demand answers from Facebook about Libra currency plans

They also raise specific concerns about the interaction of Libra and Facebook’s already enormous store of information.

Prospects dim on clear sailing for SECURE Act

Supporters still hopeful despite holdup in Senate

Trustees of Revocable Trusts May Owe Duties to Contingent Beneficiaries

Conversely, a trustee of a foreign revocable trust owes enforceable obligations to the objects (beneficiaries) of the trust forthwith regardless of the settlor’s capacity.

Trial Date Set for US Panama Papers Case

U.S. prosecutors filed charges against four men in late 2018 – two former Mossack Fonseca employees, a Boston-based accountant, and a former U.S. taxpayer.

Bailey Brauer Co-Founders Recognized by Best Lawyers in America

Clayton Bailey, Alex Brauer earn commercial litigation, appellate honors

The anatomy of an alternative mutual fund

When the Amendments came into force on January 3, 2019 (the Effective Date), all commodity pools that existed before the Effective Date were automatically converted to alternative mutual funds.

Wall Street asset manager claims boss coerced her into sex in exchange for supporting her investment fund - and says she was sacked when she complained to HR

She claims she was fired when she cut things off, and filed a complaint with HR.

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