UBS to Pay $4.8M Over Puerto Rican Bonds
By Jeff BermanTwo years ago, the firm was ordered to pay about $13 million to investors over the same risky bonds, which dated to 2013.
May 17, 2021
Ex-Wells Fargo Rep Sentenced to 27 Months in PrisonThe firm's former broker had pleaded guilty to wire fraud in which he stole more than $450,000 from about 40 clients.
May 17, 2021
Web Broker Makes Peace With Activist InvestorThe company, eHealth, has named a "special observer" to its board.
May 17, 2021
U.S. Tax Day Arrives Late With IRS Behind on Millions of ReturnsMonday brings a close to what CPAs and other financial professionals have dubbed the "never-ending tax season."
May 17, 2021
S&P Dow Jones Indices to Pay SEC $9M for VIX Index MispricingThe lapse led S&P DJI to publish and disseminate stale index values during a period of unprecedented volatility in 2018.
May 17, 2021
Dodge & Cox Launches First New Fund in 6 YearsO'Shaughnessy Asset Management has introduced a set of new defensive and models on its custom indexing platform.
May 17, 2021
Will the Recent CDC Guidelines Along With State Mandates Regarding Face Masks Create Two Classes Of Employees? Is That Even Fair?Tasha Norman speaks with Cozen O'Connor partner David Barron about what changing face mask rules mean for the workplace.
May 17, 2021
Judge Faults Former SEC Enforcement Chief Over ConductA district judge said Alex Oh "should have known better than to impugn another attorney's character without reviewing the entire record."