Managers of Wealth Americas

Husband Sues Advest, Credit Suisse, And Two Stockbrokers Over Wife's Unauthorized Withdrawals

Respondents requested the expungement of the matter from Respondents Bilski’s and Clish’s Central Registration Depository records (“CRD”).

Top CFPB Rulemaker Decamps for Law Firm

Chanin won't start until September, a media representative of Morrison & Foerster said.

Law Firms Bank On Higher Demand While Bulking Up Talent

Two recent studies suggest hiring at major law firms is outpacing demand for legal services, but experts say most firms are wisely stocking up on talent in anticipation of demand picking up down the road.

Merrill Lynch Puts Ex-Advisers' Deferred Pay Suit To Rest

Merrill Lynch & Co. Inc. has reached a deal to end a putative class action accusing it of breaching contracts by denying deferred compensation to thousands of financial advisers who quit after it was acquired by Bank of America Corp., according to a g

Statement of SEC Chairman Mary L. Schapiro on Money Market Fund Reform

The proposed structural reforms were intended to reduce their susceptibility to runs, protect retail investors and lessen the need for future taxpayer bailouts.

Baer Makes ‘Generous Assumption’ for U.S. Tax Matter, FuW Says

Julius Baer seems to have widespread shareholder support for acquiring Bank of America Corp.’s non-U.S. Merrill Lynch units, the Zurich-based newspaper reported, citing an interview with Enkelmann, who added that a “good portion” of the

Commerzbank admits Iran sanctions investigation

Commerzbank has become the latest bank to admit it faces being fined as part of a US investigation into sanctions busting by international financial institutions.

RBS under investigation by US authorities

The bank also said that it had initiated discussions with UK and US authorities to discuss its historical compliance with the relevant regulations and laws, “including US economic sanctions”

Assange urges end to U.S. 'war on whistle-blowers'

Julian Assange speaks to the public from a window of the Ecuadorian embassy in London today, where he urged that the U.S. "renounce its witch-hunt against WikiLeaks," the whistle-blowing organization he founded.

Ex-Credit Suisse Client, 83, Admits Hiding $5.7 Million

An 83-year-old Massachusetts man who held Swiss bank accounts at Credit Suisse Group AG (CSGN) and Wegelin & Co.

Whitman Capital Founder Found Guilty Of Insider Trading

Whitman Capital LLC hedge fund founder Doug Whitman was convicted of insider trading following a trial in which he spent more than two days on the stand telling jurors he was innocent.

JOBS Act: SEC delays rules on hedge fund soliciting

The JOBS Act was signed into law by President Barack Obama on April 5, 2012, and contains the lifting of the advertising ban for small businesses among other things.

4 arraigned in big bucks, precious metals bullion Ponzi-scheme

When the alleged Ponzi-scheme collapsed, Global Bullion Trading Group, Capital Assessment Management, and Certified, Inc., all filed for bankruptcy.

Hedge-Fund Manager Cites Insider Suspicions

His request was captured on a phone call secretly recorded by Ms. Khan at the direction of the FBI.

Morgan Stanley Unit Fined Over Trader’s $1.3 Billion Bet

The brokerage didn’t have enough controls in place to detect that Jared Weinryt, 31, had breached his $116 million trading limit as he made overnight bets on futures, Finra said this month.

Hall of Fame Football Coach Accused in Ponzi Scheme

The Securities and Exchange Commission has announced fraud charges against a former college football coach who teamed with an Ohio man to conduct an $80 million Ponzi scheme that included other college coaches and former players among its victims.

Fed and FSA pushing new regulator to play by rules

The Bank of England, which will soon take over many regulatory responsibilities from the FSA, and the chancellor have also made their concerns clear.

Deutsche Bank Top Hollywood Banker Claims Police Beating

The claim, which lists damages of as much as $50 million, is a necessary step before a lawsuit can be filed, Flanagan said by telephone.

JPMorgan, UBS Said Among Banks Queried in Libor Probe

Subpoenas were sent in recent weeks to five of the banks, Deutsche Bank AG (DBK), Royal Bank of Scotland Group Plc and HSBC Holdings Plc (HSBA) in addition to JPMorgan and Barclays, said the person. Citigroup Inc. (C) and UBS AG (UBSN) received subpoenas

Top Swiss banks sacrifice staff to placate U.S.

Julius Baer and Zuercher Kantonalbank also said they received authorization. HSBC said it has delivered documents and is cooperating with the U.S.

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