05/22/2018
In addition, the suit says Morgan Stanley’s definitions of client privacy and trade secrets — which the wirehouse has used in the past to argue its case against departing brokers —is overly broad.
05/18/2018
According to the SEC, from October 2013 to June 2014, Chardan, an introducing broker, liquidated more than 12.5 billion penny stock shares for seven of its customers and ICBCFS cleared the transactions.
05/18/2018
Firm of the Year 2018: Hogan Lovells
05/18/2018
The SEC’s complaint alleges that between 2014 and 2017, Brent Borland sold more than $21 million of promissory notes to dozens of investors
05/17/2018
US expats who have willfully failed to declare unpaid tax to the IRS have until September to come clean or once again risk prosecution as a key amnesty programme ends.
05/17/2018
While most legal services are becoming increasingly commoditized, there are many times significant differences in the quality of the work done by different private client lawyers.
05/11/2018
Lying on her tax return about Swiss bank accounts
05/11/2018
The suit claims Marquez began overseeing his account and, on several occasions, began investing Brown’s money into various projects and trading stocks without his permission.
05/11/2018
Akshay Aiyer accused of conspiracy by U.S. Justice Department
05/10/2018
In response to the rise of the #MeToo movement, the IMDDA commissioned the anonymous survey with institutional investors in the winter of 2018.
05/09/2018
The most enduring relationships in the legal profession are the ones where the client feels and believes the lawyer has their back.
05/09/2018
Yasuna Murakami ordered to pay $10.5 million in restitution for running Ponzi scheme.
05/08/2018
A JPMorgan spokeswoman confirmed to the website that the emails had been sent but declined to comment further.
05/08/2018
In US federal suit in California, Union Investment blamed Wells Fargo for having repeatedly made false statements, artificially inflating its share price from February 2014 to September 2016.
05/07/2018
The Forum, hosted by the Bermuda Business Development Agency (BDA), brought together industry experts from Bermuda and elsewhere to discuss the latest developments in Bermuda across key sectors such as asset management, reinsurance, captive insurance, ins
05/03/2018
Whipple is suing Merrill Lynch and parent company Bank of America for breach of contract
05/03/2018
Deutsche Bank Wealth Management to be Global Lead Partner of the new Frieze Los Angeles in 2019
05/01/2018
According to the SEC, the duty of loyalty requires an investment adviser to put its client’s interests first.
05/01/2018
Transaction Would Combine Financial Engines and Edelman Financial Services, Creating Unparalleled Independent Registered Investment Advisor
05/01/2018
The DOL missed the deadline to file for a rehearing in the Fifth Circuit Court of Appeals, meaning the Court’s decision to vacate the fiduciary rule stands.