07/20/2016
Washington Wealth Management, now known as Kestra Private Wealth Services, was fined and censured $50,000 by the SEC for failing to disclose $1.8 million in loans from its broker-dealer to clients.
07/18/2016
She welcomed the investigation by the CRA, which has assigned 70 auditors to examine real estate transactions in Metro Vancouver.
07/15/2016
In Jamaica, U.S. bank account holders are receiving notice to take their money elsewhere.
07/15/2016
An SEC investigation found that Richmond, Va.-based RiverFront Investment Group disclosed to investors in Forms ADV that client trades were typically executed through the sponsoring broker so the wrap fee would cover the transaction costs.
07/15/2016
The Private Client team will comprise Rebaza himself, Camilo Maruy, partner and head of the tax department and three more associates.
07/15/2016
Santander Bank, found to have violated the “opt-in rule,” agreed to give consumers the opportunity to provide their affirmative consent to overdraft service and to increase oversight of vendors it uses to market consumer financial products or
07/14/2016
Brokers would also need to publicly release the details on an aggregate level in reports, which would be posted on the SEC’s website.
07/14/2016
It was interesting to hear all of the witnesses share their perspectives on the nascent online lending sector.
07/13/2016
The bank identified about 2,200 of its 35,000 Cayman Islands U.S. dollar accounts as high risk because of either suspicious activity or due to a lack of information about the account owners.
07/13/2016
The Fund's main concerns are the looming fallout in the banking sector, potential Brexit spillovers and the ongoing creeping slowdown of the overall US economy.
07/12/2016
They departed Big Law to form their own boutique
07/11/2016
But the number of firms saying they, too, offer pricing choices has risen, making it harder for Valorem, despite its early embrace of alternative fees.
07/11/2016
As with most startups, seed capital is needed to get things going.
07/11/2016
The adviser boycotted her enforcement hearing, but that may not stop the regulator from throwing her out of the securities industry
07/08/2016
The Federal Reserve is leading other agencies in crafting the protections, which would be minimum standards, said the people who asked not to be named because work on the measures isn’t public.
07/08/2016
The court filing says the documents relate to an IRS examination of the company’s federal income tax liability for the year ending Dec. 31, 2010.
07/07/2016
New 15-lawyer firm handles high-stakes litigation, employment, bankruptcy, GC services
07/07/2016
Patrick E. Churchville also accused of using $2.5 million of investor funds to help him buy a house in Barrington, R.I.
07/07/2016
It was just a means for me to get money to feed a gambling addition that was all consuming at the time.
07/06/2016
Many global employers desire to include their employees worldwide in the ownership of an enterprise.