02/05/2018
In settling this matter, Wedbush neither admitted nor denied the charges, but consented to the entry of FINRA's findings.
02/01/2018
Two former Morgan Stanley advisors plead guilty to fraud, the pitfalls of robos using ETFs, and a man dies shortly after winning the lottery.
02/01/2018
Accidental Americans face ruin if their estates are not properly structured, a lawyer has warned.
02/01/2018
Bray fought back in court, but a U.S. District Court judge in Chicago last spring ordered Ariel Capital to change its name
01/31/2018
On one side will be the software provider that already develops digital banking software for TD Bank in Canada and Westpac in New Zealand.
01/30/2018
Failed to Report Foreign Financial Accounts with Value Exceeding $28 Million
01/30/2018
As part of Jefferies ongoing effort to meet the ever-changing needs of our global institutional clients, we are very pleased to begin working with BOCI
01/30/2018
The new tax plan is making any perceived value of buying muni bond funds – especially for those living in relatively high-tax states – essentially a dead deal,” he says.
01/30/2018
The lawsuit, first filed in 2010 by the children of a deceased JPMorgan employee, contends that Prudential’s practice of paying life insurance benefits in a checkbook-style account—rather than a lump-sum payment—violates federal benefits
01/30/2018
The SEC’s investigation was conducted by David Hirsch and supervised by Jessica Magee and Eric Werner in the Fort Worth Regional Office in coordination with the Enforcement Division’s Cyber Unit.
01/29/2018
Tim Duncan settles his lawsuit against his former financial advisor
01/29/2018
Deutsche Bank and UBS have agreed to pay $30m and $15m respectively to settle the civil charges in the case
01/29/2018
The charges we are announcing today relate to alleged fraud and manipulation of the U.S. futures markets through schemes that are colloquially known as “spoofing.”
01/26/2018
Tirschwell said in the complaint she was fired on Dec. 14, 2017, nine days after complaining about Ravich’s advances, on the pretext that she had violated TCW’s conflict of interest rules.
01/25/2018
Finra suspended Diaz indefinitely in 2015 for failing to comply with a settlement agreement or an arbitration award or to respond to the regulator’s requests for information, according to his BrokerCheck profile.
01/24/2018
Clayton said that the agency is “looking closely” at such “Blockchain-R-Us” schemes to determine whether they violate securities regulations.
01/22/2018
The strategic investment brings extensive expertise in the U.S. financial services and banking fields, will assist in the continued evolution and success of Bank Leumi USA and will lead to the creation of greater value for the Leumi Group.
01/19/2018
The banker, 55, has been collecting wine for decades and is said to have a 1,000-bottle storage area
01/19/2018
In total, HSBC admitted to making profits of approximately $38.4 million on the first transaction in March 2010, and approximately $8 million on the Cairn Energy transaction in December 2011.
01/19/2018
The Divisions of Enforcement for the SEC and CFTC will continue to address violations and bring actions to stop and prevent fraud in the offer and sale of digital instruments.