01/04/2016
In the first case, filed in 2013, the S.E.C. brought an administrative charge against Steven A. Cohen over his failure to supervise two employees accused of engaging in insider trading at his hedge fund firm
12/31/2015
Authorities in Milan told the publication that Apple was under investigation for failing to declare earnings in Italy from 2008 through 2013.
12/31/2015
Salvatore Alesia violated a previous court order prohibiting such conduct
12/31/2015
Webb managed more than $400 million in assets for high-net-worth clients as a senior director of portfolio management at BNY Mellon.
12/31/2015
An earlier appeal failed in February 2014.
12/30/2015
Barclays did not admit or deny wrongdoing in agreeing to the settlement
12/30/2015
Banks are posting huge profits and the stock market has surged in recent years.
12/30/2015
Julius Baer has reached an agreement in principle with the U.S. Attorney’s Office for the Southern District of New York with respect to a comprehensive resolution regarding its legacy U.S. cross-border business.
12/29/2015
PwC said an audit includes examining, on a test basis, evidence supporting the amounts and disclosures in a fund's financial statements and significant estimates made by management.
12/29/2015
Jonathan Francis, 27, and Dion Allison, 30, were charged with crimes including conspiracy and second-degree grand larceny.
12/29/2015
Both companies later announced private equity takeovers in deals where one of the bidders had been TPG, where Yooli.com Chief Executive Yannan Liu, Zhou's cousin, previously worked
12/29/2015
All of Oppenheimer's 82 attorneys are set to join Fox Rothschild
12/28/2015
Bank of New York Mellon Corp and units of Deutsche Bank AG, Wells Fargo & Co and HSBC Holdings Plc were named in the lawsuits filed in Manhattan federal court.
12/27/2015
In an ever eagerly anticipated annual tradition, Ronald Aucutt, a McGuireWoods partner and co-chair of the firm’s private wealth services group, has identified the following as the top ten estate planning and estate tax developments of 2015.
12/24/2015
An investor in NewBridge Bank is challenging the bank's purchase by Raleigh-based Yadkin Bank
12/24/2015
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.
12/24/2015
To ensure the safety and soundness of our banking system, we need to fundamentally restructure the Fed’s governance system to eliminate conflicts of interest.
12/24/2015
Since his firing over “loss of confidence,” Merrill Lynch has settled 23 complaints, the largest of which was $719,000
12/23/2015
The lawyer begged the judge not to send his client to prison, saying Marsh has rediscovered his faith, is volunteering at a soup kitchen and working as a consultant to a startup software company.
12/22/2015
Staff from the Divisions of Corporation Finance and Economic and Risk Analysis prepared the report in connection with the first review of the definition.