53 articles found within the last year.
Displaying results 1 - 20
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Judge Rakoff gives SEC five months to file civil charges in Galleon case
Monday asked the Securities an ... the matter. The SEC is now likely to withdraw its case and refile it following the conclusion of government's criminal case....
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Ex-colleague said to be cooperating witness in Rajaratnam probe
Roomy Khan, a hedge-fund manager who briefly worked ... financial troubles, a Securities and Exchange Commi ... Prosecutors say the informant and Rajaratnam both traded...
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Aima calls for industry-wide registration
equiring registration with the Securities and Exchange Commission, which was put in place and then reversed in 2006, exempted managers with less than $25m (€17m) of assets under management. At present, US hedge fund managers are not required to...
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Ex-Lehman broker sentenced to probation in insider case
to conspiracy and sec ... one count of securities fraud. He is cooperating with the government. ... the basis for securities trading." She has since left Brunswick. ... to conspiracy and securities fraud in the matter. ... by the US Securities and Exchange Commission....
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FSA and SEC agree joint mechanism to supervise hedge funds
Authority an ... collect from the sector....
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BofA faces trial as Judge rejects $33m settlement with SEC
€22.6m) settlement with the Securities and Exchange Commission to re ... ntended to offer the SEC with the “façade of enforcement” and the lender’s management with a swift reso...
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Despite warnings on Madoff, no thorough SEC probe done
of ... evidence that th ... It said the SEC's structure hampered its effectiveness, with two groups of examiners looking separately into Madoff's ... de ... time did the SEC ever verify Madoff's trading through an independent third party, ...
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Internal report slams SEC for botching Madoff investigations
The Securities and Exchange Commission botched several opportunities ... communication within the SEC’s units enabled him to continue his scheme....
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Goldman Sachs: The movie
The financial crisis is coming to the movies. ... The mighty Goldman Sachs, meantime, is being lampooned ... Matthew Rittberg, 30 years old, has written and ... Rittberg depicts the Goldman’s chiefs warning like the ... “What did I tell you,’’ says the Blankfein ... s vampire s...
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Berkshire admits 'underestimating’ risks to derivatives bets
confessed to the Securities and Exchange Commission, according to a report in The Daily Telegraph, London. ... Berkshire to the SEC, ch...
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Tailored Returns
one day overtake securities trading. This may have made the London office less essential to the daily operations of Madoff's broker-dealer and proprietary-trading businesses. ... all, through Madoff Securities International, Madoff was able to handsomely compensate other family members. In 1998, for example, direc ... director of Madoff Securities International in ... executive of Madoff Securities International, was s ... lawyer with the SEC. Other SEC people also attended, including S ... million from Madoff Securities International in London. He was juggling payouts to investors demanding their money back and moving money around from different offices and bank accounts around the world....
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US boutique staff make millions in share sale
Staff at Greenhill and Evercore Partners made nearly ... with the US Securities and Exchange Commission. Its three most senior executives offloaded a combined $124m worth of stock. ... Goldman Sachs was the sole bookrunner on the ... according to the SEC filing: ...
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BofA strikes $33m settlement with SEC over Merrill bonuses case
Bank of America has paid $33m (€22.9m) to ... on Monday, the Secu ... pact with the SEC as a "constructive conclusion" to the issue, as pe...
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Morgan Stanley wealth unit posts $71m loss for second quarter
€49.9m) loss for the second quarter, primarily due to $245m i ... Excluding those expenses, the GWM group's pretax profit...
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US industry body supports plan for broker standards
The Securities Industry and Financial Markets Association on ... to give the SEC new tools to harmonise the regulation of investment advisers and broker-dealers offered ...
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Public hedge fund managers differ on reporting fund performance
year after a Securities and Exchange Commission request for more regular performance data. ... request from the SEC last year, but rejec ... longstanding reputation of ... a comment. An SEC spokesman said the commission had nothing new to say about the Blackstone...
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SEC accuses Madoff associates of fraud complicity
The Securities and Exchange Commission has for the ... ances of countless investors”, the SEC claimed. ... Other co-defendants in the SEC suit include California-based...
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Stanford surrenders after indictment
Financier R. Allen Stanford on Thursday surrendered to ... The Justice Department is on Friday likely to ... Group, and who prosecutors earlier charged with obstructing an SEC inquiry of the company....
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The blogs: Wall Street’s reckless millionaires handed a free pass
William Cohan, the former senior investment banker turned ... he Last Tycoons: ... He said: “But until Obama & Co. get ... • Felix Salmon at Thomson Reuters writes that ... ver all this, a second brand-new regulatory ent ... + NCUA + SEC + CFTC + FHFA + FOMC + CF...
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Madoff gets SEC permission to settle civil fraud charges
by the US Securities and Exc ... The settlement also barred the swindler from associating...
