10/05/2011
SEC Scrutinizes Algorithmic Traders
SEC Scrutinizes Algorithmic Traders
Legal, Regulation & Compliance
09/30/2011
US banks woo California in mortgage settlement
US banks woo California in mortgage settlement
09/29/2011
Banks Object to Consumer Bureau Data-Sharing Rule
Banks Object to Consumer Bureau Data-Sharing Rule
09/29/2011
U.S. client tax indictment raises pressure on HSBC
U.S. client tax indictment raises pressure on HSBC
09/28/2011
JPMorgan seeks to move Lehman's $8.6 billion lawsuit
JPMorgan seeks to move Lehman's $8.6 billion lawsuit
09/28/2011
Hackers grab Goldman CEO's personal data
Hackers grab Goldman CEO's personal data
09/28/2011
Hedge funds appeal denial of WaMu bankruptcy plan
Hedge funds appeal denial of WaMu bankruptcy plan
09/26/2011
Morgan Stanley Smith Barney Female Employee Suspended and Fined for Unauthorized Signatures
Morgan Stanley Smith Barney Female Employee Suspended and Fined for Unauthorized Signatures
09/23/2011
AXA Rosenberg Co-founder Faces Fraud Charges Over Investment Model Errors
The SEC has charged Barr Rosenberg, co-founder of institutional money manager AXA Rosenberg, with securities fraud.
09/22/2011
Lehman to drop appeals over Barclays sale
Lehman to drop appeals over Barclays sale
09/22/2011
Bernard Madoff Liquidator Criticized by JPMorgan For Demanding 19 Billion Dollar Damages
Bernard Madoff Liquidator Criticized by JPMorgan For Demanding 19 Billion Dollar Damages
09/19/2011
U.S. tax-evasion probe turns to Israeli banks
The U.S. pursuit of offshore tax evaders is widening to include Israel, where U.S. authorities are scrutinizing three of Israel's largest banks over suspicions their Swiss outposts helped American clients evade taxes, people briefed on the matter sai
09/16/2011
FINRA bars former broker who sent fake emails
A former broker accused of sending fake emails about a customer's loan application has been barred from the securities industry.
09/16/2011
Gutfreund Blames UBS Trading Loss on Diminished Controls
He also comments on the prospects for the banking system amid a deepening euro-zone debt crisis.
09/12/2011
JPMorgan chief says bank rules ‘anti-US’
New international bank capital rules are “anti-American” and the US should consider pulling out of the Basel group of global regulators, Jamie Dimon, chief executive of JPMorgan Chase, has said.
09/12/2011
U.S. has tax statistics from 10 Swiss banks: report
U.S. authorities now have statistical data from the ten Swiss banks being investigated by the United States for helping U.S. clients to dodge taxes, Swiss newspaper Neue Zuercher Zeitung reported on Saturday.
09/09/2011
Republicans want list of streamlined U.S. bank rules
Republicans want list of streamlined U.S. bank rules
09/09/2011
Bank of America: Too Big to Obey the Law
Bank of America: Too Big to Obey the Law
09/08/2011
US law firm opens Istanbul office
The Istanbul office expands the firm's substantial presence in emerging markets and will concentrate on mergers and acquisitions, private equity, capital markets, corporate finance, project finance, and tax.
09/08/2011
Don Chu of Primary Global Gets 2 Years Probation
Chu represents the first member of the expert network arrests to be sentenced to prison, just as he was the first arrested.