01/15/2016
The CFTC Order requires OCI to pay a $140,000 civil monetary penalty and to cease and desist from further violating CFTC Regulation 30.4, as charged.
01/15/2016
The SEC filed a complaint against Crowe today in U.S. District Court for the Southern District of Ohio.
01/15/2016
The bank is arguing in US courts that it could be left vulnerable to money laundering if the report is published.
01/15/2016
The 2nd U.S. Circuit Court of Appeals in New York upheld the 2014 trial conviction and subsequent prison sentence of David Riley
01/15/2016
Among other things, managers should consider extending the scope of their current insider-trading protection efforts to commodities trading
01/14/2016
This matter concerns investors in a pair of hedge funds (the MSMB Funds) that Shkreli founded with a business partner.
01/14/2016
Operating Partners have become an important part of the private equity model because they provide consulting services for the Fund
01/12/2016
They had argued that prosecutors waited too long to bring wire fraud and conspiracy charges.
01/11/2016
Zuckerman Spaeder’s 100 lawyers, 30 of whom are partners, have thrived as independent troubleshooters when many contemporaries were getting gobbled up by Big Law.
01/08/2016
Gozi '76 Service' hacker handed time served after 21 months.
01/07/2016
‘Wolf of Wall Street’ Swiss Bank Pays $188 Million in Tax Case
“Under the terms of the agreement, UBP pays a heavy price for its criminal conduct and must cooperate fully in all matters relating to the conduct described in the agreement until all civil or criminal examinations, investigations or proceedings are
01/07/2016
According to court papers, Fairfield Greenwich investors suffered big losses on the more than $7 billion of their money
01/07/2016
The superseding indictment alleges that Wilmington Trust, through its senior executives, concealed the truth about its loan portfolio from bank regulators
01/07/2016
We are quite proud of Heather and Anthony," stated James M. Lee, LTL's managing partner.
01/06/2016
High-frequency trading is an automated strategy that can move billions of dollars worth of trades in a fraction of a second.
01/06/2016
A plea agreement brokered between Stanfill's attorney, David Eldridge, and Assistant U.S. Attorney Frank Dale was filed Monday in U.S. District Court.
01/06/2016
Nasdaq and Tel-Aviv Stock Exchange have officially announced a strategic cooperation.
01/06/2016
Removed last week to South Carolina federal court from the Spartanburg County court of common pleas
01/06/2016
It will also complete the review begun in late 2015 regarding incentives and conflicts of interest in connection with firms' retail brokerage business
01/06/2016
An SEC investigation found that although J.P. Morgan Securities LLC (JPMS) did not pay commissions to registered representatives in its U.S. Private Bank, compensation was not based on client performance.