Managers of Wealth Americas

Bank Execs. Say Hedge Fund Manager Racially Defamed Them

Jones and Davis set up Certus in 2010

FINRA Wants B/Ds To Dig Through Advisors' Pasts

FINRA passed new rules Thursday requiring broker-dealers to perform background checks on incoming brokers.

Veteran federal prosecutor to join leading corporate law firm

He is currently Chief of the Securities and Commodities Fraud Task Force in the U.S. Attorney’s Office

Bank of America ex-CFO Joe Price agrees to settle NY lawsuit over Merrill: Report

Price also agreed to not serve as an officer or director of a public company for 18 months

SEC wins asset freeze vs. ex-Santander exec in insider case

Jose Lopez, a partner at Perkins Coie, representing Cañas, did not immediately respond to requests for comment

Regulator's Broker Bonus Disclosure Plan Riles Insurers

Insurance industry wants FINRA off its turf

Ex-Bank of America employee avoids punishment in bid rigging case

The bank last year agreed to pay $20 million to resolve a related class action.

US Fed study: Hedge funds amplify systemic risk

He found that standard approaches may overstate spillovers in normal times

Ex-Hedge Fund Managers Seek Reversal Of Insider Convictions

Prosecutors say that the two were part of a “corrupt circle”

Guess Who Makes More Than Bankers: Their Regulators

Averages tell only part of the story

Rajaratnam’s brother loses bid to dismiss insider trading charges

Rengan Rajaratnam, the younger brother of imprisoned hedge fund manager Raj Rajaratnam, on Friday lost a bid to dismiss some of the insider trading charges leveled against him last year.

HSBC gets the go ahead to sue Deutsche Bank over reps and warrants

Judge denies motion to dismiss case from pre-crisis RMBS deals

SEC Names Deputy Chief Litigation Counsel

This is not the same David Gottesman who is friends with Warren Buffet and a hedge fund billionaire in his own right.

Hedge Fund Transparency Sets New Standard

Disclosure requirements mandated by the Dodd-Frank Act have made hedge funds more transparent than registered investment vehicles such as mutual funds and exchange-traded funds.

Jenner & Block Elects Managing Partner

He has spent 26 years at the firm

'Bitcoin Millionaire' Indicted For Allegedly Funneling Cash To Silk Road

Both Shrem and Faiella face charges of money laundering, conspiracy and failing to file suspicious activity reports

Yellen: Mega-banks might need to hold more capital

Federal Reserve Chair Janet Yellen said Tuesday that the largest U.S. banks might need to hold additional capital to withstand periods of financial stress.

SEC Charges Advisory Firm with Misleading Investors

The Securities and Exchange Commission charged a San Diego financial advisory firm with hiding from its clients kickbacks it received from a fund-management firm that it owned.

N.Y. Regulator Sends Subpoena to Credit Suisse in Tax-Evasion Prob

New York's top financial regulator has sought numerous documents from Credit Suisse Group AG as it ramps up a continuing tax-evasion probe of the Swiss bank.

Northern Trust Enhances FTK Investment Statement Reporting for Dutch Pension Schemes

Solution Designed to Support Regulatory Requirements for Asset Level Transparency and Risk Modelling

Legal, Regulation & Compliance