03/05/2015
A top U.S. regulator is calling for new rules for brokers who make markets in over-the-counter microcap stocks, saying the current regulations are lax and may lead to poor-quality pricing.
03/05/2015
By 2006, the internet entrepreneur's UBS account held nearly $1.1 million
03/05/2015
Affluent clients often need additional services during and post-divorce.
03/04/2015
U.S. regulators on Tuesday asked for more time to react to a complaint by MetLife (MET.N) over their decision to subject the insurer to tougher oversight
03/04/2015
Bank to make payments to more than 25,000 homeowners
03/03/2015
Judge Calls for Billionaire tycoon to Pay $299M in Fraud Suit
Billionaire tycoon and his brother's estate owe more than $299 million in a Securities and Exchange Commission fraud action
03/03/2015
The Minnesota Human Rights Act prohibits businesses that offer credit and loans from discriminating against customers who have a disability
03/02/2015
Global regulators have issued dozens of rules aimed at making the biggest banks safer
03/02/2015
"FinTech Law" goes into great detail on the current state of the industry
03/02/2015
The Bitcoin Investment Trust, which is only open to high-income and institutional investors, is expected to compete with a bitcoin ETF planned by the Winklevoss twins.
03/02/2015
She has been a federal prosecutor for 14 years, starting in the District of New Jersey, then moving to the U.S. Attorney’s Office in the EDNY, where she worked for the past 11 years.
02/27/2015
Examination focused on a range of industrywide practices in the dividend-arbitrage space
02/27/2015
U.S. SEC Targets Asset Manager Conflicts of Interest - Investigator
Wall Street has come under heightened scrutiny by the Obama administration amid concerns about conflicts of interest
02/27/2015
Now more than four years and dozens of insider trading convictions later, one of those funds — forced to close from the taint of the raid — is fighting back
02/27/2015
US commodity pool investment scammer receives eight year sentence
The criminal charges arose from his solicitation fraud and misappropriation of pool participant funds
02/26/2015
Meredith Whitney called billionaire Michael Platt’s efforts to withdraw his company’s investment from her hedge fund a “blatant attempt” to dissolve the operation in violation of an agreement between them
02/26/2015
Morgan Stanley agreed to pay $2.6 billion to settle probes into its creation and sale of residential mortgage-backed securities
02/26/2015
Swain also praised Hardin for cooperating immediately upon being approached in 2008 by federal agents
02/26/2015
Bank of America VP Pleads Guilty
He admitted that neither borrower qualified for the loans because they did not meet the bank's underwriting requirements
02/26/2015
Deutsche Bank and JPMorgan were ordered by U.S. District Judge Thomas Griesa to "immediately produce to NML's counsel