10/29/2014
The SEC has filed insider trading charges against a New Jersey-based hedge fund manager who allegedly used material, nonpublic information to trade in advance of market-moving news concerning Carter's Inc.
10/28/2014
Censures and fines involve Merrill's ‘business that clears trades for market makers,’ not Merrill's wealth management business
10/27/2014
Private equity and hedge fund managers, prodded by their institutional clients, are taking compliance more seriously as federal examiners and enforcers up their game targeting practices they say put investors at a disadvantage.
10/27/2014
A final piece of Bank of America Corp's record $16.7 billion toxic-mortgage settlement is being held up by an internal fight at the U.S. Securities and Exchange Commission
10/27/2014
Former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than USD840,000 and accept securities industry bars in order to settle the Securities and Exchange Comission’s (SEC) insider trading case against him.
10/27/2014
Last year, Argentine authorities raided a Buenos Aires factory co-owned by Dart founder Kenneth Dart.
10/26/2014
Gambino was an associate general counsel and a managing director who worked for the German bank for 11 years, according to the Wall Street Journal, which first reported his death.
10/24/2014
The authority did not redeem any of the bonds with surplus revenues, violating its covenant.
10/24/2014
Wragge Lawrence Graham & Co has advised longstanding client Euroclear on its agreement with the US’s Depository Trust & Clearing Corporation to develop a joint collateral processing service.
10/24/2014
Cyber Risk Services and Crisis Management round out broad portfolio Deloitte considers cyber risk services to rank among its most important offerings in the marketplace.
10/23/2014
Griesa had ruled that the $539 million that Argentina deposited in June with BNY Mellon for bondholders who participated in two sovereign debt restructurings was "illegal"
10/23/2014
The brokerage industry, after all, outspends the RIA industry. SIFMA spends $2 million a year in lobbying dollars, while the Financial Planning Association spends $40,000, said Bill Prewitt, founder of Charleston Financial Advisors.
10/23/2014
A month after Bingham McCutchen’s management disclosed to its partnership plans to merge with Morgan, Lewis & Bockius, lingering issues remain over what a combined firm might look like.
10/22/2014
Leading Tax Attorneys Join Fried Frank
Mr. Thornton advises clients on the tax aspects of a range of business matters
10/22/2014
A former UBS AG client adviser on Tuesday placed the Swiss bank's ex-wealth management head Raoul Weil at meetings in 2002
10/22/2014
For the second time this year, a shareholder derivative case against Citigroup's directors that alleged they should be held personally liable for losses stemming from the bank's misstatement of LIBOR, has been rejected by the Commercial Division
10/22/2014
We didn’t misrepresent anything when it comes to advertising or generally speaking with people in terms of our roles at Bridgewater.
10/21/2014
A former Barclays Plc unit managing director in Latin America sued the company over its pullback from the region
10/21/2014
How the aging population will Impact the way estate attorneys practice in the future
10/18/2014
The Securities and Exchange Commission Friday civilly charged a New Springville man in connection with multiple investment schemes he allegedly operated between 2009 and 2013.