Search for: "Mark Barclay"
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15 Sep 2017, 11:51 am
Barclays Capital Inc., for alleged anti-fraud violations based on alleged overbilling of advisory fees and excess mutual fund sales charges, which resulted in $97 million monetary relief. [read post]
14 Jul 2017, 6:19 am
Yavitz, Wachtell, Lipton, Rosen & Katz, on Saturday, July 8, 2017 Tags: Anti-corruption, Asset-backed securities, Barclays Capital, Corporate crime, Corporate fraud, DOJ, International governance, Mortgage lending, Qatar, Securities enforcement, UK 2017 Proxy Season Review Posted by Mark Manoff and Stephen W. [read post]
1 Jul 2017, 12:00 pm
This new position marks a decisive break from the more conscientious approach long espoused by both the Comptroller General and the Office of Legal Counsel (OLC). [read post]
4 May 2017, 7:14 am
The SEC alleges that the traders added excessive mark-ups on certain transactions without notifying their customers. [read post]
24 Apr 2017, 3:36 am
,Respondent (Barclays OIP; ’34 Act Rel. [read post]
9 Feb 2017, 1:53 pm
The three-year average for the Barclays is a measly 3%, making even Treasuries look attractive. [read post]
30 Dec 2016, 5:24 am
” Mark Mardell, a privately educated journalist, echoed a similar but tamer [read post]
19 Sep 2016, 7:43 am
”— David Walker, Chairman of Winton Capital, former Chairman of Barclays “As only insiders can, Davis, Lukomnik, and Pitt-Watson shine a spotlight on hidden cracks in the system that can still put hard-earned savings at risk. [read post]
14 Jul 2016, 4:18 am
Barclays has revealed Mark Shelton as the new GC for its investment arm amid a bank-wide reorganisation due to new ring-fencing rules [read post]
23 May 2016, 9:30 pm
Mark Ruffalo was one of many protestors who gathered in Las Vegas to object to a policy change they say hurts the environment. [read post]
11 May 2016, 7:55 am
By Mark S. [read post]
1 Apr 2016, 6:00 am
by Hans Christensen, Eric Floyd, Lisa Liu and Mark Maffett in the CLS Blue Sky Blog Regulators seem to think so. [read post]
29 Feb 2016, 4:43 pm
This past year was an eventful one in the corporate and securities litigation arena, with the U.S. [read post]
31 Jan 2016, 1:43 pm
The SEC appreciates the assistance of the NYAG.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
1 Dec 2015, 1:41 pm
- Adviser Attrition at Barclays [read post]
17 Nov 2015, 6:29 pm
The Hunt for Who’s Responsible for Tom Clancy’s Estate Tax – Bill Keeler of Garver Schubert Barer on the firm’s blog, West Coast Trusts & Estates Litigation Tougher Scrutiny on Cybersecurity at Banks in 2016 – Miami attorney Philip Stein of Bilzin Sumberg on the firm’s blog, Mortgage Crisis Watch Steptoe Cyberlaw Podcast – Interview with Mark Shuttleworth – Washington, DC lawyer Stewart Baker of Steptoe & Johnson on the… [read post]
17 Nov 2015, 2:00 pm
Louis-based firm said it now expects the unit to add $210 million to $230 million in revenue, compared to $332 million when the acquisition was first announced.With Stifel Deal Pending, Advisor Attrition Spikes at Barclays | IAG Breaking News:----------Mark Astarita represents brokers and advisers in their transitions between every major broker-dealer, and has been doing so for decades. [read post]
4 Nov 2015, 5:43 pm
Rudensky of Akerman on the firm’s blog, Marks, Works & Secrets Why Your Business’s Online Reputation Matters and How to Protect It – Whitney C. [read post]
4 Nov 2015, 3:47 pm
Companies including Standard Chartered, Barclays, KPMG, BNP Paribas, Societe Generale, WorldPay, UBS and AT Kearney have joined this elite group. [read post]
23 Oct 2015, 7:13 am
Marks & Spencer Plc v BNP Paribas Securities Services Trust Company (Jersey) Ltd & Anor, heard 7 October 2015. [read post]
