10/14/2014
A former banker at Switzerland's biggest bank, UBS, has been found guilty of handing over protected Swiss bank account data to the United States, according to a penalty order issued by the Swiss prosecutors' office.
10/10/2014
A current and a former unit of E*Trade Financial Corporation will pay $2.5 million to settle charges that they ignored red flags and improperly sold billions of unregistered penny stock shares on behalf of customers, U.S. regulators said on Thursday.
10/09/2014
The proposed deal, disclosed in court papers filed in New York federal court, is the first such settlement of private litigation in the United States against various banks accused of manipulating the London Interbank Offered Rate.
10/09/2014
Ephren Taylor, II, has pleaded guilty to conspiracy to commit mail and wire fraud by defrauding hundreds of victims of their retirement savings.
10/07/2014
A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary duties survived a motion to dismiss.