11/20/2015
It's often assumed that financial planning for high-net-worth individuals is all about sophisticated investments and complex strategies that are either too expensive or otherwise off-limits to the general public.
11/20/2015
Sands Brothers violated the SEC's so-called "custody rule," the SEC said.
11/20/2015
These banks will collectively pay penalties totaling more than $81 million and continue to cooperate with the department.
11/20/2015
Move unlikely to halt inversion between Pfizer and Allergan
11/19/2015
The judge directed Citigroup and Tormar to try to reach an agreement
11/19/2015
Additional Fine Brings Overall Barclays Foreign Exchange NYDFS Penalty to $635 Million
11/19/2015
Once the payout, Picard's sixth, is finished, eligible recipients will have recouped about $9.13 billion.
11/18/2015
International law firm boosts Global Tax Team
He was previously a leader of the West Coast tax practice at another global law firm.
11/18/2015
The rules are expected, among other things, to dictate when banks can take prior years' bonuses back from bankers, for example if the employee engaged in fraud.
11/18/2015
The SEC alleges that Jammin Java’s former CEO Shane Whittle orchestrated the scheme with three others who live abroad and operate entities offshore.
11/17/2015
Arenas claims that Boulevard Management, Inc. fell well short of the standard of care that it publicly advertises, causing Arenas to lose many millions of dollars.
11/17/2015
FINRA Fines Scottrade $2.6 Million for Failing to Save Emails
FINRA rules require firms to save all documentation in a non-rewritable, non-erasable format
11/17/2015
Mutual Fund Adviser Advertised False Performance Claims
The investigation was supervised by Jeffrey Finnell and Robert Baker.
11/15/2015
In June 2012, Barclays admitted to manipulating LIBOR in settlements with U.S. and U.K. regulators.
11/15/2015
The Swiss Bank Program, which was announced on Aug. 29, 2013, provides a path for Swiss banks to resolve potential criminal liabilities in the United States.
11/14/2015
The Department of Justice has announced that Standard Chartered Bank Switzerland SA, en liquidation SCB Switzerland, reached a resolution under the department’s Swiss Bank Program.
11/14/2015
The region is home to seven of Deloitte’s Canadian Technology Fast 50 FinTech companies, and the financial tech industry is growing fast.
11/12/2015
American prosecutors say they have identified the people involved in hacking JPMorgan Chase last year.
11/12/2015
Dechert partner Ken Young led the team advising Stifel.
11/12/2015
Governments and campaign groups are concerned about company ownership transparency because webs of companies in secretive locations are important vehicles for money laundering.