02/23/2016
Attorney Jacqueline Valdespino Receives International Award
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Legal, Regulation & Compliance
02/22/2016
U.S. SEC Says Shift From Examining Brokers to Investment Advisers Necessary
The goal is to close a gap in the routine monitoring of investment advisory firms.
02/22/2016
US banks prepare for tough stress tests from Fed
Two-part exam designed to assess whether banks have enough loss-absorbing capital
02/19/2016
FINRA Launches Information Sweep on Firm Culture
This latest move comes after the Wall Street regulator listed firm culture as a 2016 examination priority.
02/19/2016
Ed Goldman: Lawyer fees cross the $1,500-per-hour threshhold
The news was reported in the Wall Street Journal, quoting a report from Citi Private Bank’s Law Firm Group.
02/19/2016
Premier Cru Boss Takes the Fifth
The FBI investigation into a Ponzi scheme at the Berkeley retailer could impact owner's own legal troubles.
02/19/2016
FBI raids UDF office in Grapevine on heels of "Ponzi scheme" allegations
Mahan declined to comment further about the open investigation, which is being conducted by the U.S. Attorney's office.
02/19/2016
Barclays to pay $50 million to end U.S. currency rigging lawsuit
It comes three months after Barclays agreed to pay $150 million and fire a senior electronic trading official to resolve similar claims by the New York State Department of Financial Services.
02/18/2016
Will New Guidelines Bolster Family Offices? Or Become Their Kryptonite?
As Registered Investment Advisers, family offices are subject to SEC's oversight
02/18/2016
Hedge Fund Association Applauds Passage of House Bill Expanding Definition of Accredited Investor
The Hedge Fund Association is pleased to report that on February 1, 2016 the U.S. House of Representatives passed H.R. 2187, the Fair Investment Opportunities for Professional Experts Act, which incorporates the addition of a knowledge and education-based
02/18/2016
Ex-Deutsche Bank Analyst In Big Trouble Over Big Lots Rating
The SEC’s continuing investigation is being conducted by Drew M. Dorman, Robert B. Hanson, Jason Litow, and Kevin Gershfeld.
02/18/2016
Ex-Deutsche Bank Analyst Banned Over Rating at Odds With Opinion
Analysts simply cannot express one view publicly and the opposite view privately.
02/17/2016
Aspiriant Enters Agreement with the Glowacki Group
LA-Based Independent RIA is Second Firm to Join Aspiriant in Recent Months
02/17/2016
Kimora Lee Simmons’ Husband Caught Up in Massive Scandal
Media sources report that Simmons has connections to Razak’s wife.
02/16/2016
Daughters of late Wall Street tycoon say dad’s wife is ‘greedy’
With her husband on his deathbed, Brown allegedly attacked Kelly, who was pregnant, as well as Kimberly’s husband at the hospital, which made Kelly miss her father’s final moments, papers say.
02/13/2016
FINRA Bars 2 Advisors Who Misled Clients into Hedge Fund That Tanked
Clients poured money into a hedge fund billed as a safe investment backed by a computer algorithm.
02/12/2016
Former oil trader files whistleblower suit against Carlyle
The legal skirmish exposes some of the tensions on Wall Street as the commodity price plunge wrongfooted many traders.
02/12/2016
Developments in Offshore Permanent Capital Vehicles
Global private financial wealth is expected to grow to US$222.1 trillion by 2019
02/12/2016
Alan Grayson’s Double Life: Congressman and Hedge Fund Manager
Now he is also among the leading Democratic candidates for one of Florida’s United States Senate seats.
02/11/2016
Helpful Policies To Address Office Romances This Valentine’s Day
Companies must be equipped to handle office romances by updating or implementing policies regarding sexual harassment and its reporting procedures, no fraternization, and potentially “Love” or “Cupid” Contracts.