11/10/2017
Scandal-Plagued SoFi Posts Record Quarter But Pulls Back Expansion
The compares with $134 million in the previous period.
Legal, Regulation & Compliance
11/09/2017
SEC proposes streamlining disclosure amendments to Regulation S-K mandated by Fast Act
The proposed amendments are intended to improve readability and navigability of disclosure documents while discouraging repetition and inclusion of immaterial information.
11/09/2017
Shreveport amateur golfer Eddie Lyons cost us $5 million, investors allege
The 29 investors asked FINRA to let them present their claims to a panel of arbitrators.
11/07/2017
Barclays fails to end US 'dark pool' class action
Barclays Plc has failed to persuade a U.S. appeals court to unwind a class action lawsuit accusing the British bank of defrauding shareholders about its private "dark pool" trading platforms.
11/07/2017
SEC issues new guidance on shareholder proposals
Issuers and proponents frequently hold opposing views as to the existence of significant policy issues
11/06/2017
Stifel Broker Wins $3 Million from UBS for Defamation
James Springer Jr. wins his defamatin case against UBS, business owners want tax reform and what to do to be productive and wealthy.
11/02/2017
Bedell Cristin advises Leonard Green & Partners on acquisition of CPA Global
LGP is a leading private equity investment firm founded in 1989 and based in Los Angeles.
11/02/2017
Barclays Staff to Face New York Whistle-Blowing Interviews
The CEO may have to step down if the FCA deems him unfit to lead a financial institution.
11/01/2017
Ex-Merrill Lynch broker to plead guilty to securities fraud
Robert Hammerle, Buck’s lawyer in the criminal case, said his client admitted he overcharged clients
11/01/2017
U.S. Tax Cheaters Line Up Against Their Accused Ex-Swiss Banker
It would open us up to investigation.
11/01/2017
Womble Bond Dickinson launches – the transatlantic law firm close to home
Womble Bond Dickinson will use its strength and experience in these sectors to create opportunities for its clients and build on the success achieved so far through the strategic alliance.
11/01/2017
Global Reach of MiFID II Strikes North American Buy-Side
The report explores new data requirements and challenges around data lineage
10/31/2017
Celebrities Sue Over Failed Tax Avoidance Ruse
Eclipse 35, One Of The Biggest Partnerships, Was A Tax Avoidance Scheme
10/31/2017
JPMorgan Chase Defends Whistleblower Claim From Madoff Era
The trial in Manhattan federal court is expected to take about a week.
10/30/2017
US Denies Iran-Related Sanctions for Turkish Banks
Three executives from Halkbank, Turkey’s second-largest state bank, have been charged in the US for violating sanctions on Iran and banking fraud.
10/30/2017
Manafort surrenders, Gates asked to turn himself in to Mueller, source says
Gates is a longtime business associate of Manafort, having worked together since the mid-2000s, and served as his deputy on the campaign.
10/30/2017
Amid Russia Row, Miami Boutique Affiliates With Moscow Firm
Diaz, Reus & Targ will have a new outpost in the Russian Federation after aligning with LegaLife.
10/30/2017
Elaborate fake gold bar sparks investigation by RBC, police
The small bar he was provided looked as if it had come from the Royal Canadian Mint, however, upon closer inspection, it was found to be a fake.
10/29/2017
These 13 Wire Transfers Are A Focus Of The FBI Probe Into Paul Manafort
The new revelations come as special counsel Robert Mueller’s investigation is tightening, with reports that an indictment may already have been issued.
10/27/2017
US recommends asset manager stress tests be removed
The regulatory framework for both the asset management and insurance industries can be significantly improved.