 Stock trader at RIA charged with front running
- The SEC claims a senior equity trader at an RIA made big bucks front running cli...
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JPML Head Says New Mix Of Cases Makes Panel More Picky
- The U.S. Judicial Panel on Multidistrict Litigation has rejected a higher percen...
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US-China Audit Truce Offers Weak Shield For Investors
- A Friday agreement allowing U.S. regulators to seek documents from Chinese accou...
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First Circuit Revives CVS Shareholder Fraud Class Action
- The First Circuit on Friday revived a CVS Caremark Corp. shareholder class actio...
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US Trustee, Banks Slam AMR Bankruptcy Exit Plan
- The U.S. trustee in AMR Corp.’s bankruptcy Friday objected to the airliner...
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Job cuts at the Advisor Group
- The Advisor Group, the IBD owned by AIG, laid off employees this week. Sources o...
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N.Y. attorney general says more evidence banks violated mortgage pact
- New York Attorney General Eric Schneiderman said there is mounting evidence that...
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Jury Convicts 4 Bank Of Commonwealth Insiders In $71M Fraud
- A Virginia federal jury Friday convicted former Bank of the Commonwealth CEO Edw...
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SEC Charges Dallas-Based Trader With Front Running
- FOR IMMEDIATE RELEASE
2013-93
Washington, D.C., May 24,...
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Obama nominates Senate aides to serve as SEC commissioners
- Pending Senate approval, Kara Stein will replace Democrat Elisse Walter, and Mic...
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Ally settlement may be a boon for ResCap bondholders
- While bond insurers MBIA Inc and FGIC Corp receive the lion's share of Ally Fin...
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KPMG can't arbitrate claims by Madoff feeder fund investors - court
- A group of investors who lost $20 million in a fund that funneled money into Ber...
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U.S. audit regulator reaches deal with China on document access
- Regulators will get access to Chinese companies' audit documents, opening the wa...
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Obama Nominates 2 Senate Aides As SEC Commissioners
- President Barack Obama on Thursday nominated two senior Senate aides to serve as...
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Ex-LPL adviser charged with stealing $2M from clients
- LPL finds itself in the headlines for the third time this week as a former advis...
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Starboard Seizes Control At Tessera With Last-Minute Deal
- Starboard Value LP took control of Tessera Technologies Inc. through a last-minu...
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SEC's 1st Proxy Firm Action Hints At New Compliance Focus
- The U.S. Securities and Exchange Commission's first-ever suit against a prox...
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SIPC Moves To Wind Down NY Brokerage Accused Of Fraud
- The Securities Investor Protection Corp. asked for court permission Thursday to ...
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SEC Files $1.7M Insider Trading Suit Against Cushing Broker
- The U.S. Securities and Exchange Commission on Thursday launched an insider trad...
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Lehman To Reap Up To $2B From Pair Of REIT Stock Offerings
- Lehman Brothers Holdings Inc. will unload roughly 50 percent of its stake in res...
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Regulator Cites Flaws In Ernst & Young Procedures
- The top U.S. accounting watchdog on Thursday said that Ernst & Young LLP did not...
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Large retailers sue Visa, MasterCard over card fees
- The lawsuit comes ahead of a deadline for the millions of merchants affected by ...
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Proxy advisory firm settles SEC charges over data breach
- An employee of the prominent proxy advisory firm was accused of sharing nonpubli...
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Chevron Investors Seek SEC Probe Over $19B Ecuador Battle
- A coalition of Chevron Corp. shareholders asked the U.S. Securities and Exchange...
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SEC charges former LPL adviser with $2 mln civil fraud
- Blake Richards is accused of promising clients he would put their money into inv...
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Ex-Goldman Banker Settles SEC Pay-To-Play Case
- A former Goldman Sachs & Co. investment banker has agreed to pay $100,000 to set...
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Grant Thornton Settles With Allianz In $1B Winstar Fraud Row
- Affiliates of German insurer and financial services giant Allianz SE on Thursday...
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SEC Charges Institutional Shareholder Services in Breach of Clients' Confidential Proxy Voting Information
- FOR IMMEDIATE RELEASE
2013-92
Washington, D.C.,...
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Seizure Alert Dog Business Sham
- Rather than try and digest this disgusting bit of business, I prefer to present ...
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Feds Say Pastor Stole From Peter To Pay Peter In Real Estate Scam
- According to a federal Indictment in the Southern District of Texas return...
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