08/23/2018
Manafort faces a maximum sentence of 80 years for the eight guilty verdicts. A sentencing date has been set for August 29.
08/22/2018
The SEC’s order finds that the conflict of interest arose in Merrill Lynch’s handling of third-party products managed by a U.S. subsidiary of a foreign multinational bank, in which more than 1,500 of Merrill’s retail advisory accounts ha
08/22/2018
The Brazilian President has approved a law focusing on data privacy that is being called, the ‘Brazilian GDPR’.
08/22/2018
Headquartered in London, Hermes Investment Management provides a broad range of specialist, active investment strategies and stewardship services to institutional and wholesale clients across the globe.
08/21/2018
The SEC’s investigation was conducted by Eric Brooks, Michael Foley, and Ellen Chen, and was supervised by Jeremy Pendrey of the Enforcement Division’s Asset Management Unit in the San Francisco Regional Office.
08/21/2018
Precious metal scam defrauded $400,000 from at least 12 victims
08/21/2018
Once Woodbridge filed for bankruptcy, investors stopped receiving monthly interest payments and have not received a return of their investment principal.
08/20/2018
Shareholders Katie Molloy and Jasmine Zacharias at global law firm Greenberg Traurig, LLP have been shortlisted for Euromoney’s inaugural Rising Star Awards.
08/20/2018
The raids began at 6 am and concluded at 4 pm.
08/19/2018
MaltaToday has learnt that Portmann Capital Management Limited is the Maltese investment firm that is referred to in the Homeland Security Investigations criminal complaint filed in the courts of Miami
08/17/2018
Affected customers say they incurred fees and charges as a result of their unauthorized account.
08/17/2018
Exclusions to the definition of securities margin financing may be available to Type 1 arrangers or dealers where the statutory provisions to the relevant exclusions are satisfied.
08/17/2018
A Morgan Stanley spokesperson says about the litigation: “We intend to defend ourselves vigorously.”
08/16/2018
Firm’s Nationally Recognized Private Client Team Expands California Presence
08/16/2018
Without admitting or denying the findings, Ameriprise agreed to be censured and pay a penalty of $4.5 million.
08/15/2018
The SEC’s order finds that the defendants’ promotional materials used inflated projections of oil production that were contradicted by the company’s own internal analysis
08/15/2018
A Morgan Stanley spokeswoman tells the website the firm is pleased with the dismissal of the claim but still believes it’s not obliged to cover Johnson’s legal fees.
08/13/2018
Between 2008 and 2018, MacColl instructed investors to sell or take a line of credit out against the securities in their accounts and to deposit the money into their personal bank accounts, according to the complaint.
08/13/2018
The SEC’s complaint, filed in U.S. District Court for the Southern District of New York, charges Christopher Collins, Cameron Collins, and Stephen Zarsky
08/10/2018
Goldman Sachs denies any wrongdoing and says it’ll fight the lawsuit, which was filed Thursday in Manhattan federal court.