Department of Justice

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  SEC, DOJ Release Foreign Corrupt Practices Act Guide

  By Melanie Waddell, AdvisorOne  |  November 14, 2012

  The Securities and Exchange Commission and the Department of Justice released Wednesday A Resource Guide to the U.S. Foreign Corrupt Practices Act, a 120-page guide providing a detailed analysis of the U.S. Foreign Corrupt Practices Act and closely examines the SEC and DOJ approach to FCPA enforcement.

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  Barclays Fined Record $470M on Energy Trades

  By Marlene Y. Satter, AdvisorOne  |  November 1, 2012

  Barclays was hit with a record $469.9 million fine by the Federal Energy Regulatory Commission, which also fined four of its former traders for manipulating energy rates in the western U.S. from late 2006 to 2008.

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  Barclays Eyed in Two New Probes

  By Marlene Y. Satter, AdvisorOne  |  October 31, 2012

  Fresh from an FSA investigation into LIBOR rigging, Barclays is now the target of two more inquiries.

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  RBS Wins: Singapore LIBOR Papers to Be Sealed

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  The decision came in a closed hearing after the bank said that public availability of the documents could have “extensive potential prejudice” on confidential regulatory investigations.

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

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  ‘Antichrist’ at SEC, Dimon, Bush Among Villains of Financial Crisis: Tavakoli

  By Gil Weinreich, AdvisorOne  |  August 29, 2012

  To Wall Street scourge Janet Tavakoli, the list of financial-crisis villains still evading responsibility is not short and includes, to name a few, Jamie Dimon, Jon Corzine, Tim Geithner, Mary Schapiro, George W. Bush, President Obama and the financial media.

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  New Hire Roundup: Hatteras Promotes Murphy

  By Marlene Y. Satter, AdvisorOne  |  August 22, 2012

  This week in new hires, Robert Murphy was named CIO of Hatteras Alternative Mutual Funds; Steven Lofquist went to JHS Capital Advisors; and Franklin Square welcomed Mike Gerber.

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  N.Y. Action on Standard Chartered Surprised Other Regulators

  By Marlene Y. Satter, AdvisorOne  |  August 8, 2012

  Not only was Standard Chartered apparently blindsided by the move, so were federal regulators; negotiations had been ongoing for some time for what the bank hoped would be a quiet settlement.

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  Criminal Probes Start in LIBOR Scandal

  By Marlene Y. Satter, AdvisorOne  |  July 27, 2012

  The LIBOR scandal churned on; criminal probes were launched by the U.K.’s Serious Fraud Office (SFO) while in the U.S., the Justice Department prepared to file charges.

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  Q2 Earnings Kickoff: JPMorgan Down, Wells Fargo Up and Markets Heave Sigh of Relief

  By Joyce Hanson, AdvisorOne  |  July 13, 2012

  Friday the 13th was lucky for JPMorgan and Wells Fargo as both banks’ stocks rose higher despite dark news that preceded their Q2 earnings reports.