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Two Finra Merger Cases Dismissed
Judge Rakoff cites absolute immunity of NASD in its regulatory function.
Quadrophobia: Study Suggests Companies Adjusting Financial Results Fractionally to Manage Earnings
Study shows companies tend to bump earnings by a 10th of a cent or two to let them round results up.
Appeal Heard in $521 Million Verdict Against BDO
BDO Siedman’s appeal of massive verdict heard in Banco Espirito Santo case.
NY Judge Denies Ezra Merkin’s Motion to Dismiss Civil Claim
Judge denies motion to dismiss Madoff-related civil fraud case against Merkin.
Wall Street Firms Hire CIA Experts to Detect Lies
Financial firms recruit “spooks” on active service to help with investment decisions.
FINRA Lays Off Five Senior Enforcement Officials
FINRA lays off five senior enforcement officials as part of recent management restructuring.
US Banks Face TARP Insider Trading Probe
SIG-TARP Barofsky investigates allegations of improper use of non-public TARP information by US banks.
WSJ Video: BofA Chiefs Charged With Securities Fraud
WSJ video report on NY AG Cuomo’s new case against former top BofA execs.
FINRA Issues Guidance on Blogs and Social Networking
FINRA guidance covers internal policies and procedures for blogging and social networking.