Managers of Wealth Americas

Everest Wealth Management: Fraud allegations 'spurious,' 'unsupported by facts'

The company is known for its "Money Guys" paid advertising

Pimco Chief Applauds Iosco SIFI Shift

The $1.6 trillion asset manager’s chief executive was reacting after a decision the day before by International Organization of Securities Commissions

Ex-Im Bank Faces Congressional Troubles

The Export-Import Bank helps U.S. companies with financing and a type of insurance that protects firms in case a foreign customer cannot pay.

U.S. regulators impose limits on mortgage business for 6 banks

OCC to Escheat Funds from the Foreclosure Review, Terminates Orders Against Three Mortgage Servicers, Imposes Restrictions on Six Others

Top two FIFA officials hire lawyers as Swiss probe bank transactions

FIFA's embattled president, Sepp Blatter, and his second-in-command have hired high-powered lawyers to represent them

Regulators Near Pacts to Settle U.S. Rate Probes

CFTC is weighing punishments against several banks and broker ICAP

Finra arbitration panel hits Robert W. Baird & Co. with $13 million penalty

The asset and wealth management firm was accused of unfair competition and solicitation

Commerce Department Reporting Obligations for U.S. Investment Abroad - Cantor & Webb

BEA conducts seven mandatory surveys to collect information on direct investment.

RBC, BMO settle with SEC over U.S. municipal bond sales

Two Canadian banks are among a list of 36 financial firms that have settled allegations from the U.S. Securities and Exchange Commission that they sold U.S. municipal bonds using materially false statements or omissions.

Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges

A SEC investigation found that Helmut Anscheringer purchased stock and call options in AuthenTec Inc. upon learning from a longtime friend related to an AuthenTec executive that Apple proposed to buy the company, which provided fingerprint sensors and sof

Investment Advisory Firm’s Former President Charged With Stealing Client Funds

The firm specializes in providing advisory and financial management services to current and former professional athletes.

Commerce Department Reporting Obligations for U.S. Investment Abroad

The legal authority for all of the direct investment surveys is the International Investment and Trade in Services Survey Act

You’ve Been Warned: Central Bankers Turning Less Market-Friendly

But for those who track the world’s central banks, change is afoot

Barclays, Citi, JPMorgan Face Korea Forex Probe in South Korea

The probe into the manipulation of foreign-exchange rates is spreading beyond the U.S. and Europe.

Finra files complaint against former UBS broker

John Waszolek allegedly took advantage of the client's lack of capacity to be named beneficiary of her estate

Battle Continues Over Fiduciary Rule for Retirement Investments

Fight centers over whether proposed regulatory proposal is truly in retirees’ best interest

How the rise of digital banking might set back a US civil-rights law

A key provision of the CRA, the “service test,” gauges how much banks are serving their communities.

How the Fed screwed up the bond market

Live by central bank liquidity, die by central bank liquidity

International law firm hires first US securities partners

This core offering differentiates the firm’s London-based regulatory and advisory capabilities for its investment banking clients, giving it deep insight into underwriters, both in terms of executing transactions and advising on US, UK and European

Merrill Wins $1.3M Clawback From Ameriprise Advisor

Arbitrators usually find a way to compromise

Legal, Regulation & Compliance