12/01/2011
FINRA initiated a regulatory investigation, which resulted in Reilly being suspended in July 2011 for failing to respond to requests by the regulator for information. In October 2011, FINRA converted the suspension to a bar.
11/29/2011
Swiss banks need to know what the U.S. is accusing them of to be able to negotiate a solution, Nicolas Pictet, president of the Swiss private banking association and a managing partner at Pictet & Cie. told Aargauer Zeitung in an interview.
11/28/2011
Advisers to hedge funds and other private funds that manage at least $150 million in assets will be required to file Form PF with the SEC.
11/23/2011
US watchdog faults two major accounting firms' audits
11/22/2011
Major US banks met with Fed over Volcker Rule
11/18/2011
Desai was also charged with three counts of failing to report foreign bank accounts
11/17/2011
17 lawyers are included in the Legal 500 rankings, Caribbean 2012 edition
11/17/2011
The combined firm will employ more than 330 attorneys in nearly 70 practices
11/10/2011
The hunt for the missing $600 million in customer money at MF Global Holdings Ltd may begin with Harris Bank, a Chicago-based lender that often holds client money for many large futures brokerage firms.
10/27/2011
Wall Street banks gets NSA intel on foreign hackers
10/24/2011
Hedge fund manager pleads guilty in insider-trading scheme
10/21/2011
Citigroup to pay $360m over mortgage investment charges
10/21/2011
SEC to Weigh Hedge Fund Rule on Systemic Risk Data Analysis
10/20/2011
Goldman, Morgan Stanley Skirting FD Rules?
10/20/2011
Top banks accused of colluding on ATM fees
10/18/2011
‘Mini Madoff’ Gets 25 Years
10/17/2011
Volcker rule could change bank profit dynamics
10/11/2011
Banks to Face Claims in Foreclosure Settlement, Iowa Says
10/10/2011
N.Y. state sues BNY Mellon for $2B
10/10/2011
Sentencing Set For Raj Rajaratnam, Hedge Fund Founder Convicted Of Insider Trading