Search for: "By SUSAN ANTILLA"
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18 Jul 2022, 4:06 am
(Capital & Main by Susan Antilla)Boom, boom, boom, Charles Schwab Corp. just spent $220 million to shuck three lawsuits -- a likely 'deck clearing' before the TD Ameritrade merger closes, say multiple analysts / A 2017 Scottrade class action suit inherited from TD Ameritrade, a robo-advice disclosure settlement, and TDA merger class action have all gone poof (RIABiz by Oisin Breen)Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It P... [read post]
18 Jul 2022, 4:06 am
(Capital & Main by Susan Antilla)Mexican beauty queen, Romanian-Dutch man arrested after chase across Europe over $1.7 million wine theft (Reuters)SEC Charges Tampa-Based Health Insurance Distributor and its Former CEO with Making False Statements to Investors (SEC Release)FINRA Censures and Fines S... [read post]
17 Jun 2021, 3:25 am
(The Nation by Susan Antilla)Two Architects Of Fraudulent Scheme Sentenced For Processing Over $150 Million Through U.S. [read post]
17 Jun 2021, 3:25 am
But there are exceptions; and one such exception is Susan Antilla, who is an award-winning investigative journalist, famed financial columnist, and the author of th... [read post]
17 Jun 2021, 3:25 am
Burton, Respondent (FINRA AWC)Veteran Journalist Susan Antilla Discomforts Wall Street Over Racism (BrokeAndBroker.com Blog)... [read post]
21 May 2021, 3:23 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5866/securities-industry-commentator/25 years after the 'Boom Boom Room' lawsuit, Wall Street still has a long way to go (CNN by Susan Antilla)Rockland County Man Convicted For Running Multimillion-Dollar Ponzi And Embezzlement Schemes (DOJ Release)Westport Man Sentenced to Prison for Defrauding Investors, Making False… [read post]
1 May 2020, 6:22 am
Federal Court Cites Confusion of Ray Jay's Many Raymond Jameses (BrokeAndBroker.com Blog)Investors With a Grievance Find Themselves in Lockdown Limbo (Barron's by Susan Antilla)Former Fairfield Resident Sentenced to Prison for Investment Fraud (DOJ Release)Peruvian Man Pleads Guilty to Overseeing Call Centers that Threatened and Defrauded Spanish-Speaking U.S. [read post]
1 Jun 2019, 1:51 am
Wall Street Goes Silent On #METOO (The Intercept in partnership with TypeInvestigations by Susan Antilla)https://theintercept.com/2019/06/04/wall-street-metoo-sexual-harassment/? [read post]
18 Apr 2018, 10:02 am
FINRA’S BLACK HOLE: In 30 Years, Only 17 Women Won Sexual Harassment Claims Before Wall Street’s Oversight Body (The Intercept, by Susan Antilla) https://theintercept.com/2018/04/18/in-30-years-only-17-women-won-sexual-harassment-claims-before-wall-streets-oversight-body/O’Brien’s case is one of 98 sexual harassment or hostile work environment claims and counterclaims made by women that The Intercept and the Investigative Fund found in the FINRA… [read post]
26 Jan 2018, 9:23 am
The Man From Sullivan & Cromwell / Under Trump’s SEC, Wall Street Secrecy Expands as Enforcement Shrinks (The Intercept by Susan Antilla and Gary Rivlin) https://theintercept.com/2018/01/30/jay-clayton-sec-donald-trump-wall-street/ A towering bit of old-fashioned journalism from two of the very best writers on the financial beat. [read post]
25 Apr 2014, 8:35 am
A little background from Susan Antilla at NYT Dealbook: Investors generally have not been able to use the public court system for their disputes with their stockbrokers since 1987, when the Supreme Court ruled in Shearson v. [read post]
16 Apr 2014, 7:42 am
” The Times reporter who wrote that story, Susan Antilla, followed up with this disturbing blog post about the Sterling Jewelers case: I asked to attend the late February hearings on this sex discrimination case that could wind up including 44,000 women in 50 states, but the arbitrator declined my request. [read post]
17 Aug 2012, 2:42 am
Susan Antilla on whether Goldman Sachs gets “more justice” than ordinary folk. [read post]
7 May 2012, 2:53 pm
Susan Antilla’s recent Bloomberg column summarizes the securities regulatory enforcement activity in 2011 as a series of breaks, favors and waivers doled out by the regulators to big Wall Street banks. [read post]
5 Aug 2011, 2:59 am
Susan Antilla on failure of the News Corp. board of directors. [read post]
28 Mar 2011, 7:39 pm
Susan Antilla on Whoopi Goldberg’s mistake endorsing “crowdfunding. [read post]
25 Feb 2011, 4:04 pm
Bloomberg commentator Susan Antilla smells at rat. [read post]
25 Feb 2011, 10:41 am
Cut the SEC’s whistle-blower program, produce more Madoffs, explains Susan Antilla. [read post]
23 Sep 2009, 2:01 am
Bloomberg's Susan Antilla has an interesting article on the SEC. [read post]
26 Aug 2009, 9:05 am
Charles Schwab's recent article in the Wall Street Journal, entitled "Brokers Aren't Responsible for Bad Bets," is a cynical attempt to change the subject that compares very unfavorably with the intellectual honesty of Warren Buffet, according to Susan Antilla in her August 21 article in Bloomberg.com. [read post]
