09/12/2018
JPMorgan sues ex-advisors for luring clients to Raymond James
JPMorgan claims it was tipped off to the advisors’ actions by clients who complained to the bank about being petitioned to move their business to Raymond James.
09/11/2018
Mike Slemmer, COO, Americas of FundCount, commented: “FundCount delivers efficiency and insight to clients—which comes from being able to account, manage, and report on complex holding structures and the full array of liquid and illiquid holdi
09/11/2018
Burstein allegedly helped Quiros misappropriate and misuse more than $21 million in investor funds flowing through several brokerage accounts held at Raymond James, the SEC says.
09/09/2018
What the earlier court filings didn’t disclose was the identity of the central hacker—revealed finally in an unsealed indictment on Friday as Tyurin.
09/07/2018
Court finds tax collector took certain positions for strategic reasons rather than good faith legal reasons. There will be an appeal
09/05/2018
Societe Generale has been caught up in around a dozen probes and lawsuits in recent months.
09/05/2018
The PDJ "Women Worth Watching" awards celebrate the achievements and personalities of leading women across a multitude of industries who represent diversity within their spheres of influence.
09/04/2018
What’s more, in a further abuse of good governance practices, Liu holds the chairman’s seat as well as serving as CEO.
09/04/2018
Mr Kelleher says he had no knowledge of the injunction when he funded the Cayman litigation.
09/04/2018
Instead of fighting it in court, the bank agreed to pay $19.5 million to the members of the class, according to Aug. 31 filings.
09/03/2018
The bank said in a statement obtained by the paper that it "may periodically request information, such as country of citizenship and proof of US residency".
09/03/2018
The report says the financial outlook will also be shaped by China’s ability to manage risks relating to high indebtedness and leverage in its banking, shadow banking and wealth management industries.
08/31/2018
Venable and Fitzpatrick Cella, one of the largest IP boutiques in the country, revealed plans for the combination last week.
08/30/2018
JPMorgan accuses the advisors of "bad-mouthing JPMorgan" to clients by making false statements about the firm's ability to serve investors.
08/30/2018
“They do an excellent job, they’re present in the market, they’re known, and they have a reputation as being top-flight attorneys with broad skill sets.”
08/30/2018
A SA entrepreneur has been charged for fraud in the US as the authorities there accuse him of stealing almost R9 million from investors in a “massive securities fraud scheme”.
08/29/2018
The defendants’ proposed expert testimony as to the adequacy of the government’s discovery, establishment of the conspiracy, and benefit or harm to Deutsche Bank’s counterparties is incurably improper, the DOJ argues.
08/29/2018
Today’s enforcement action demonstrates the Commission’s continued commitment to root out manipulation and spoofing in our markets
08/29/2018
Bank Admits to Helping U.S. Taxpayers Conceal Income and Assets from the United States; Agrees to Pay $60.4 Million
08/28/2018
The errors related to models used by the subadvisor of the products, Aegon USA Investment Management, from July 2011 to June 2015.