Managers of Wealth Americas

SEC Imposes Sanctions Against China-Based Members of Big Four Accounting Networks for Refusing to Produce Documents

The settlement is an important milestone in the SEC’s ability to obtain documents from China

U.S. Probe Of Barclays, UBS Widens Forex Trading Investigation

Currency-linked investments marketed by Barclays Plc. and UBS are under the scanner of the US Department of Justice

LeoGroup Acquires Apex Wealth Services to Expand Wealth Reporting & Administrative Capabilities for Ultra-High Net Worth Clients

Apex provides comprehensive wealth reporting and related administrative services for affluent investors with complex portfolios.

Winning in court: Mishcon de Reya avoids potential £10m plus claim as case dismissed

Had the case been successful, claimants were planning on suing Mishcon for 'a sum in excess of £10m for consequential losses'

The better to bamboozle you

The Securities and Exchange Commission today announced it has achieved an emergency asset freeze and temporary restraining order against Jacob Keith Cooper and his investment firm Total Wealth Management.

SEC Charges Four in California Insider Trading Ring

The SEC alleges that John Gray, then an analyst at Barclays Capital, and his friend Christian Keller traded on confidential merger information

Wegelin Banker Facing U.S. Tax Charge Said to Be Arrested

A Swiss banker charged three years ago in New York with helping Americans evade taxes was arrested in Germany and faces extradition to the U.S.

Former SAC Capital hedge fund manager Noah Freeman gets 'freedom’

Former SAC Capital Advisors portfolio manager Noah Freeman is now a "freeman."

Ex-wealth manager back in news

He failed to attend two court appearances in December of 2014

OSC proposes new whistleblower program for public comment

Under the program, an employee or individual with credible concerns, would be eligible to receive a financial award

Harwood Feffer LLP Announces Investigation of Advent Software, Inc.

Harwood Feffer LLP is investigating potential claims against the board of directors of Advent Software, Inc.

K&L Gates Ranked Among Top 10 Firms for Superior Client Service

Based on direct, unprompted feedback from more than 300 Global 500 and Fortune 1000 corporate counsel.

K&L Gates Moves Into Top 10 on U.S. Law Firm Brands Ranking

K&L Gates LLP has been recognized as one of the 10 strongest U.S. law firm brands

California Pensions to Recover $320M from S&P

The California Public Employees’ Retirement System and California State Teachers’ Retirement System are set to recoup more than $320 million from credit rating agency Standard & Poor’s and its parent company McGraw Hill Financial.

UBS Bank Escapes From Class Action

A federal judge dismissed a class action claiming Swiss banking giant UBS made billions of dollars by improperly closing accounts of secret account-holders, including those of a former Indonesian vice president.

JPMorgan to pay $99.5 million to resolve currency rigging lawsuit

Investors including hedge funds, pension funds and the city of Philadelphia accused the 12 banks, which controlled 84 percent of the global currency trading market

Caplin & Drysdale Elects Three New Members

Caplin & Drysdale today announced that Dianne C. Mehany, Matthew T. Sanderson, and Brendan M. Wilson have been elected Members of the Firm.

U.S. Bancorp Turns to Young Employees for Digital Banking Advice

It's like getting into the Harvard of employee focus groups.

Oppenheimer to pay $20 mln to settle with U.S. over improper stock sales

Oppenheimer & Co will pay $20 million to settle two U.S. government cases

BNY Mellon May Face Bribery Charges Over Sovereign Wealth Funds: Filing

A case from the SEC would be the first to come from a long-running investigation into banks' dealings with sovereign wealth funds.

Legal, Regulation & Compliance