07/02/2018
The SEC’s investigation has been conducted by David Oliwenstein, David Stoelting, Roseann Daniello, and Steven G. Rawlings, and supervised by Sanjay Wadhwa.
07/02/2018
Morgan Stanley previously repaid the four advisory clients in full plus interest.
06/29/2018
Since 1992, the Commission has issued more than 300 exemptive orders allowing ETFs to operate under the Investment Company Act.
06/29/2018
BT Wealth Management was the highest ranked Atlanta firm in the $500 million-plus club.
06/29/2018
The proposed rules would, among other things, provide the Commission with additional tools in making whistleblower awards to ensure that meritorious whistleblowers are appropriately rewarded for their efforts
06/28/2018
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report
06/28/2018
The two companies are very well suited for one another.
06/27/2018
Hedge funds run by Christopher Hohn and Dinakar Singh accused one of India’s largest real estate developers IREO Management of defrauding its foreign investors of at least $1.5 billion. “If we do nothing, we will largely bleed dry and get not
06/26/2018
Misconduct Imposed Substantial Costs on Retail Customers
06/26/2018
According to Laver, the bank deliberately agreed to the recruiting deal rather than selling the unit as a formal sale would have led to a change of control requiring the payments.
06/26/2018
This new development may negatively affect New York art merchants, who often arrange shipments of out-of-state deliveries using fine art carriers.
06/26/2018
Trusts only have to reveal that they exist when they voluntarily file a tax return to the Canada Revenue Agency.
06/25/2018
Tough penalties will force those who don’t file to consider the consequences of staying in the shadows.
06/22/2018
Germany’s largest bank seems doomed to fail the review by US regulators, causing further damage to its reputation and loss of key personnel.
06/22/2018
Banks would have suffered cumulative $578 billion in losses under hypothetical recession
06/20/2018
Will Pay $42 Million Penalty to Settle Charges
06/19/2018
L.A. Firm Hires Two Partners From Blank Rome
Litigators Leslie Corwin and Simon Miller Join Leading Business and Entertainment Boutique
06/15/2018
FINRA is overhauling its registration and disclosure programs, advisors aren’t worried about market volatility and how to talk to clients about betting on the World Cup.
06/15/2018
This whitepaper is representative of Chubb's commitment to provide context to a complicated topic and to put this new regulation into perspective for U.S. companies."
06/13/2018
Global law firm Greenberg Traurig, LLP had two winners and was a finalist for 21 other honors at the Euromoney Legal Media Group’s annual “Americans Women in Business Law Awards’ ceremony.