52 articles found within the last year.
Displaying results 21 - 40
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Evercore hands new chief $6m signing-on bonus
The new chief executive of investment banking boutique ... Ralph Schlosstein, a co-founder of asset management company ... wit ... which combs through SEC filings. Evercore declin ... guaranteed bonuses to secure the talent required to compete in the investment banking sector....
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Liechtenstein wealth manager opens its doors to offshore US money
Liechtenstein-based wealth manager Kaiser Ritter Partners is to ... The move comes after a crackdown on US ... Kaiser Ritter Partners will offer a service to ... to the States Securities and Exchange Commissi ... "The financial services sector in Switzerland and Liechten...
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US eyes bank pay overhaul
power of the Securities and Exchange Commission and moral suasion. Officials are also looking at what could be done legislativel ... of the financial sector that once were untouched. ... Obama an ... the Fed, the SEC and others about ways to address compensa...
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Investment manager hires former Stanford team
scheme, led the SEC to step up its investigation, according to current and former officials. ... the clean technology sector that goes back numerous years, and was far removed from any of the alleged pro ... “tremendous growth” in the sector. ... hat invest in the sector....
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Seven questions to ask when picking a financial adviser
regulated by the Securities ... 10 years. The second part of the form -- which isn't online -- contains information on an adviser's services, fees, code of ethics and ... a New York securities lawyer. He suggests looking for complaints related to customer disputes, fraud or ex ... commission on the securities they sell; charge fees, either ... Bernard L. Madoff Securities. The operation's auditing firm, Friehling & Horowitz, had only one licensed accountant and was operating out of a storefront in ... a ... should go up. Secret strategies like those touted by Mr. Madoff are no longer acceptable, Mr. Sonnenfeldt says. ... specialist for a second opin...
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US authorities appeal against motion to force Madoff bankruptcy
The Securities and Exchange Commission and the Justice ... DOJ and the SEC would distribute to them any funds recovered from Mado ... However, the prosecutors warned the motion, if granted,...
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Zwirn near deal to transfer control of hedge fund assets
Daniel Zwirn, the hedge fund manager whose firm ... control after the Securities and Exchange Commission opened an investigation into his firm and he froze withdrawal ... investigation by the SEC for more than two years. It has ...
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Stanford rejects SEC charges over $8bn swindle
Allen Stanford, the billionaire financier, has categorically denied ... by the US Securities and Exchange Commission in F...
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Fairfield Greenwich charged with fraud in Madoff case
Massachusetts securities regulators charged Fairfield Greenwich Group, a ... on Wednesday by Secretary ... The complaint said the firm misrepresented its "degree ... to questions from SEC attorneys who were looking into concerns voiced by Harry ...
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Pandit and Havens may lose $20m via Old Lane's collapse
Vikram Pandit, chief executive of Citigroup, and John ... At the time of the Old Lane acquisition ... Pandit and Haven each invested $100.3m in the ... Last June, Citigroup purchased substantially all of the ... Pandit and Havens each received $79.8m in connection ... in 2006, t ... according to an SEC filing. ...
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SEC draws flak for decision to contact clients directly
The Securities and Exchange Commission's decision to expand ... The advisers fear that their clients might panic ... The SEC sent a letter this week to...
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UBS restates 2008 loss
UBS, which in 2008 reported the biggest ever ... Justice and the Securities and Exchange Commission, the bank said it now had a net loss of Sfr20.89bn in the year ending December 31, compared with ... DoJ and the SEC related to its US cross-border case, t...
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SEC sues US fund manager over alleged fraud
The Securities and Exchange Commission has sued Leila ... The SEC claims that Jenkins created a fabricated...
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UBS rises after settlement, deal cheaper than expected
Shares in UBS rose Thursday after the bank ... a so-called deferred prosecution with the US Department of Justice and Securities and Exchange Commmission, or SEC. ... The bank had already moved to shut the ... "The decision by UBS is a landmark and...
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SEC charges Stanford with covering up Madoff losses
e had not, the Securities and Exchange Commission has claimed, according to a report in The Times, London. ... the contrary," the SEC said as it filed 25 pages of allegations with a court in Detroit on Wednesday. ... The regulator accused Stanford Group Company of failing...
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Comment: Just when you thought it was safe...
Just when you thought it might be safe ... This week, stock markets around the world have ... investigated by the SEC. ... Lloyds Banking Group, newly rescued by the UK ... Legal & General, hitherto regarded as a quality ... Hard on the heels of rival SVG at...
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Frustrated Stanford Account Holders Gather On Antigua
after hearing of Securities and Exchange Commission charges alleging an $8 billion fraud. ... word of the SEC action was broadcast on Antiguan radio in the early afternoon. ... main branch building. Security guards tried to calm ... shut by a security guard's baton. "Give the people their money," he said angrily. "My message to Mr. Stanford is this: we are happy to bank with you if this all turns out to be nothing. But in the meantime,...
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SEC Charges Allen Stanford With $8 Billion Securities Fraud
The SEC has charged businessman R. Allen Stanford ... The SEC, FBI and other regulatory bodies have ... Information from the SEC: http://sec.gov/litigation/litreleases/2009/lr20901.htm...
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Managed futures weather the storm
“Of all the ways to lose money, why ... this year the sector expects to add substantially to its $206bn in assets under management. ... scrutiny than the Securities and Exchange Commission applies to hedge funds. Abraham said: “If anyth...
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Investment Firm Is Probed
examined by the Securities and Exchange Commission and two other regulatory agencies, according to the firm. ... Regulators from the SEC, the Financial Industry Regulatory ... Finra and the ... investigation by the Securities & Exchange Commission," according to court documents....
