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Legal, Regulation & Compliance

03/05/2013

Citigroup arbitration win in $4 billion Abu Dhabi case upheld

The sovereign wealth fund had sought to rescind the November 2007 investment.

03/05/2013

Judge Clears Path for Trial Against French Bank's Hamas Accounts

U.S. District Judge Dora Irizarry denied French banking giant Credit Lyonnais SA's motion for summary judgment last Thursday

03/05/2013

Former Wells Fargo Broker Is Sentenced to 2 Years

Wells Fargo uncovered the fraud in the fall of 2011

03/05/2013

Ex-Lehman rep scores rare arb win as forgivable loan is forgiven

The decision means the broker does not have to pay back $337,000

03/04/2013

Swiss bank Wegelin ordered to pay in U.S. tax evasion case

A U.S. court on Monday sentenced Wegelin & Co, the oldest Swiss private bank, to pay $57.85 million after it admitted to helping wealthy Americans evade taxes.

03/04/2013

Senate report may fault JPMorgan executives in trading loss

The CIO group in London took large bets on derivatives

03/04/2013

Finra Fines Ameriprise, Clearing Unit $750,000 For Lack of Supervision

Ameriprise and AEIS neither admitted nor denied the charges, but consented to the entry of FINRA's findings.

03/03/2013

Ex-lawyer jailed in largest US tax fraud

US District Judge William H Pauley III sentenced 52-year-old Donna Guerin after she pleaded guilty to conspiracy

03/03/2013

Ernst & Young to pay $123m to settle US tax shelter probe

Ernst & Young has agreed to pay $123m to resolve a US federal investigation

03/03/2013

Merrill Lynch Hit With $8.5 Million Wrongful Termination Case

Ultimately, Claimant sought $6 million in compensatory damages; $2.5 million in punitive damages

02/27/2013

Connecticut hedge fund managers arrested on fraud charges

"Hedge fund managers who put greed ahead of full disclosure to investors violate a fundamental trust."

02/27/2013

Panel orders Morgan Stanley to pay $1.5 million to two brokers

An arbitration panel denied Morgan Stanley Smith Barney's request to claw back compensation from two brokers

02/27/2013

UBS Client, 78, Charged With Tax Evasion in Illinois Case

Troost transferred income to his UBS account, evading payment of at least $193,641 in taxes from 2007 to 2009

02/26/2013

Handler Thayer, LLP Named Best Private Client Law Firm In The United States For 2013

The 2013 PAM Awards event, held at Cipriani's 42nd Street Ballroom in New York, attracted a large number of wealth industry professionals from across the United States.

02/26/2013

Gibson Dunn, Shearman and Proskauer unveil 2012 financial results

Gibson Dunn posted an impressive rise in revenue

02/26/2013

New Stream Fund Executives Charged With Securities Fraud

It goes without saying that investing carries certain risks

02/25/2013

international law firm boosts private client division

She will be joined from her previous firm by Of Counsel Edward Peck

02/24/2013

Credit Suisse faces U.S. probe into mortgage products

The U.S. Attorney's Office in New Jersey is investigating Credit Suisse AG over mortgage-backed securities packaged and sold by the bank, according to people familiar with the matter.

02/24/2013

Morgan Stanley Sued by Ex-Employee Over Alleged Arbitration Ploy

He claims that in July 2012 he learned the firm had assigned the note to a different Morgan Stanley entity prior to the arbitration and had no right to pursue him over it.

02/21/2013

Canadian Securities Regulators' Enforcement Report Highlights Fraud

"CSA members work hard to combat securities fraud and we place particular emphasis in our enforcement work on the violations that constitute fraud."

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