Search Results

WRECKING AN ECONOMY MEANS NEVER HAVING TO SAY YOU’RE SORRY.

• Authors : STARKMAN, DEAN

Subjects: *INDICTMENTS; *FINANCIAL services industry; *CORRUPT practices in the banking industryUNITED StatesUNITED States. Dept. of Justice

• Source: New Republic. 8/25/2014, Vol. 245 Issue 14, p22-23. 2p.

Record details

Goldman Sent Inaccurate Data to the SEC on 163 Million Trades.

• Authors : Weinstein, Austin (AUTHOR)

Subjects: *SECURITIES trading; *FINANCIAL services industry; LEGAL settlementUNITED States. Securities & Exchange Commission ; GOLDMAN Sachs Asset Management (Company)

• Source: Bloomberg.com. 9/22/2023, pN.PAG-N.PAG. 1p.

Record details

Barclays to Pay $2 Million Fine Over Stock Trade-Routing Lapses.

• Authors : Beyoud, Lydia (AUTHOR)

Subjects: *TERMS of trade; *FINANCIAL services industry; *FINANCIAL marketsUNITED States. Securities & Exchange Commission

• Source: Bloomberg.com. 10/5/2022, pN.PAG-N.PAG. 1p.

Record details

OFHEO enters $16.4 million settlement with ex-Freddie exec.

Subjects: *FEDERAL government; *FINANCIAL services industry; LEGAL settlementUNITED StatesFREDDIE Mac (Company) 053382495 FREDDIE Mac (Company) FREDDIE Mac (Company) 053382495 053382495 FREDDIE Mac (Company) 053382495 FMCC...

• Source: Mortgage Banking. Dec2007, Vol. 68 Issue 3, p14-16. 2p.

Record details

LIABILITY AND ADMISSIONS OF WRONGDOING IN PUBLIC ENFORCEMENT OF LAW.

• Authors : Buell, Samuel W.

Subjects: LEGAL settlement; FINANCIAL services industry; LAW enforcementUNITED StatesUNITED States. Securities & Exchange Commission

• Source: University of Cincinnati Law Review; Winter2013, Vol. 82 Issue 2, p505-522, 18p

Record details

The Litigation of Financial Innovations.

• Authors : Lerner, Josh

Subjects: INNOVATIONS in business; ACTIONS & defenses (Law); FINANCIAL services industryUNITED StatesUNITED States. Patent & Trademark Office

• Source: Journal of Law & Economics; Nov2010, Vol. 53 Issue 4, p807-831, 25p

Record details

SEPARATING THE GOOD FROM THE BAD: DEVELOPMENTS IN ISLAMIC ACQUISITION FINANCING.

• Authors : Moghul, Umar F.

Subjects: FINANCIAL services industry; ISLAMIC finance; INTEREST rates

• Source: American University International Law Review; 2008, Vol. 23 Issue 4, p733-762, 30p

Record details

The Art of Negotiation.

• Authors : Rosso, Anne

Subjects: BUSINESS negotiation; CORPORATE resolutions; CONFLICT management

• Source: Collector (0010082X); Jan2015, Vol. 80 Issue 6, p30-33, 4p

Record details

Rare FCPA action puts financial services firms on notice.

• Authors : Jaeger, Jaclyn

Subjects: FOREIGN Corrupt Practices Act of 1977 (U.S.); FINES (Penalties); LEGAL settlementOCH-Ziff Capital Management Group LLC

• Source: Compliance Week; Jan2017, Vol. 14 Issue 156, p61-63, 3p, 1 Color Photograph

Record details

SEC Shifts to a Tougher Stance.

• Authors : Viswanatha, Aruna (AUTHOR); Glazer, Emily (AUTHOR)

Subjects: *LEGAL settlement; *FINANCIAL services industry; *INVESTMENTSUNITED StatesUNITED States. Securities & Exchange Commission ; J.P. Morgan Chase & Co.

• Source: Wall Street Journal - Eastern Edition. 10/28/2015, Vol. 266 Issue 101, pC1-C2. 2p. 1 Color Photograph.

Record details