07/19/2017
One unnamed manager had allegedly requested Xiao send him sexually explicit photos of herself and then withdrew his offer for her to join his team, according to the suit cited by the website.
07/17/2017
But the feds will have to get in line.
07/17/2017
Qualcomm could be on the hook for penalties ‘in the range of several millions of euros’ for resisting the call for the data
07/14/2017
Our position as the most well-represented firm is a testament to our sustained efforts at building an international business that serves every legal need of our clients.
07/14/2017
The SEC’s Office of Investor Education and Advocacy previously issued an alert warning investors that aggressive stock promotion is a red flag of fraud.
07/13/2017
Public trust and confidence in the rule of law and the judicial system was at stake.
07/13/2017
In the lawsuit UBS claims the four advisors breached non-solicitation provisions
07/12/2017
The eight earlier settlements have won preliminary approval.
07/11/2017
The approved revamp will also split exams into an entry-level “securities industry essentials” exam and additional exams addressing specific securities and principal licenses, according to the publication.
07/11/2017
The main culprit, he says, isn’t any slowdown in unwinding of forgivable loan packages and other incentives offered by wirehouses and broker-dealers.
07/10/2017
The plaintiff claims the plans were "loaded" with proprietary mutual funds, and 98% of the investable assets were held in company-affiliated investments
07/10/2017
The Economic Advisory Committee of the American Bankers Association foresees Federal Reserve rate hikes in the next year.
07/10/2017
Quarles’ nomination has been rumored for weeks.
07/09/2017
This cost makes up the bulk of the expenses that are levied against assets and which cut investors’ overall returns.
07/07/2017
It could give an early indication of how the new administration would levy financial penalties.
07/06/2017
The Labor Department is currently reviewing the fiduciary rule, which purports to require retirement account advisors to put clients’ interests first and went into partial effect June 9.
07/06/2017
Martin Shkreli allegedly told Merrill Lynch it could absorb the loss on an Orexigen short sale.
07/06/2017
We also expect that this will alleviate the pressures on our borrowing capacity that we have seen from the accelerated terms and prepayment requirements imposed by certain vendors.
07/06/2017
A perceived absence of a mission-driven ethos within the finance industry was identified as a tipping point to explore alternative career options.
07/05/2017
A subsequent period of underperformance saw a number of investors pull their money, only for Saba to bounce back and attract fresh capital with a market-beating 3 percent gain in 2015 and returns of 22 percent in 2016, one of the sources said.