-
The Seventh Circuit Court of Appeals has affirmed the dismissal of a class action that sought damages by class members as a result of the 2008 UBS tax evasion scandal.
February 11 -
Mary Jo White, President Barack Obamas nominee to lead the U.S. Securities and Exchange Commission, said she will avoid some matters involving firms including JPMorgan Chase & Co., General Electric Co. and Deloitte & Touche LLP if confirmed by the Senate.
February 10 -
The outlook for the asset management industry in 2013 is strikingly more positive than it has been in years.
February 9 -
Fidelity Financial Advisor Solutions, the Defined Contribution Investment Only unit of Fidelity Investments, is looking to grow its team of wholesalers.
February 9 -
FINRA appears to be pulling back from its campaign to regulate RIAs -- and advisors couldnt be happier.
February 7 -
When it comes to understanding white collar criminals, Walter A. Pavlo, Jr. wants financial services professionals to know one thing: they look a lot like them.
February 5 -
The Securities and Exchange Commission promoted George Canellos, currently Deputy Director of the Division of Enforcement, as Acting Director. The appointment is effective February 8.
February 5 -
BlackRock the worlds biggest money manager, is accused in a lawsuit by two pension funds of reaping grossly excessive compensation from securities- lending returns associated with iShares.
February 5 -
The Financial Industry Regulatory Authority's municipal market priority this year will be ensure that brokers adequately disclose risks associated with tax-exempt bonds backed by revenue from private and nonprofit entities, which have significantly higher default rates than general obligation bonds.
February 5 -
BlackRock the worlds biggest money manager, is accused in a lawsuit by two pension funds of reaping grossly excessive compensation from securities- lending returns associated with iShares.
February 4
