05/12/2013
Neue Privat Bank confirms U.S. tax-cheat probe
The DOJ now is investigating a number of other Swiss banks
Legal, Regulation & Compliance
05/12/2013
Barclays wins dismissal of U.S. shareholder lawsuit over Libor
The lawsuit had sought class-action status
05/09/2013
Ex-Dewey tax partner exits Linklaters' Washington base for KPMG
Linklaters Washington DC tax partner Joseph Pari has left for KPMG
05/09/2013
BLOOMBERG CEO: It Was A Mistake To Let Our Journalists Have Access To Clients' Bloomberg Terminal Data
Wall Street has been buzzing about a bombshell New York Post story
05/08/2013
Ex-UBS Executives Deserve More Than 11 Years, U.S. Says
Three former UBS AG (UBSN) executives convicted of bid-rigging
05/08/2013
Hedge-fund billionaire Falcone agrees to SEC ban
Hedge-fund mogul Phil Falcone has agreed to a two-year ban from serving as an investment adviser after the Securities and Exchange Commission charged him with fraud last year.
05/07/2013
Linklaters boosts Washington tax practice with Bingham partner duo
Strengthened its US tax practice with the hire of a partner duo
05/07/2013
Ex-Wilmington Trust Loan Officer Accused of Criminal Fraud (1)
He’s guilty of conspiracy to commit criminal bank fraud
05/07/2013
Citi Study: Law Firms Hurt by Weak First-Quarter Demand
First-quarter legal industry results aren’t necessarily the best predictor
05/06/2013
Increased Regulatory Scrutiny of Trading by Directors Associated With Funds
Securities and Derivatives Enforcement and Regulatory Update
05/05/2013
Assured says to be paid $358 million as it settles UBS suit
it reached a settlement with UBS AG in a lawsuit that accused the bank of falsely representing the quality of the loans
05/03/2013
Credit Suisse Alleges Espionage Against Former Employee
Credit Suisse Group AG has filed suit against its former vice president for emerging markets group on the grounds she stole confidential documents and trade secrets prior to her transfer to Goldman Sachs.
05/01/2013
"Why all companies should embrace certain SOX principles?" RESEARCH
Sarbanes-Oxley (SOX) principles can act as a framework to assist companies in achieving strong corporate governance and internal controls.
04/29/2013
JPMorgan, Citibank sued Over $301 Million Mortgage Loans
These breaches have not been remedied by the responsible parties
04/29/2013
Hedge fund fined $21.5 mln for insider trading
The settlement comes after the SEC filed insider trading charges in January 2012 against Level Global's co-founder Anthony Chiasson
04/28/2013
Court gives final OK to Merrill deferred compensation settlement
The suit, filed in 2010, stems from Merrill's merger with Bank of America in September 2008.
04/24/2013
Appleby bolsters practice by promoting three new partners
Appleby has announced the promotion of three lawyers to the partnership, and the appointment of five lawyers to the position of Counsel.
04/21/2013
As U.S. Settlement For 300 Swiss Banks Dawns, Prosecution Risks Remain
More serious enablers of evasion may get more serious raps on the knuckles.
04/21/2013
Dechert, Quinn and Weil among revenue risers in growth year for US firms
All but seven saw their UK revenues rise in 2012
04/16/2013
Finra Fines Merrill Lynch $1.05 Million
In any customer transaction, a firm or its registered persons must use reasonable diligence to ensure that the purchase or sale price to the customer is as favorable as possible under current market conditions.