The lawsuit, first filed in 2010 by the children of a deceased JPMorgan employee, contends that Prudential’s practice of paying life insurance benefits in a checkbook-style account—rather than a lump-sum payment—violates federal benefits
Tirschwell said in the complaint she was fired on Dec. 14, 2017, nine days after complaining about Ravich’s advances, on the pretext that she had violated TCW’s conflict of interest rules.
Finra suspended Diaz indefinitely in 2015 for failing to comply with a settlement agreement or an arbitration award or to respond to the regulator’s requests for information, according to his BrokerCheck profile.
The strategic investment brings extensive expertise in the U.S. financial services and banking fields, will assist in the continued evolution and success of Bank Leumi USA and will lead to the creation of greater value for the Leumi Group.
The banker, 55, has been collecting wine for decades and is said to have a 1,000-bottle storage area
In total, HSBC admitted to making profits of approximately $38.4 million on the first transaction in March 2010, and approximately $8 million on the Cairn Energy transaction in December 2011.
Separately, Finra has barred Matthew Peregoy, who was registered with Investors Capital Corp. from January 2006 to July 2016
Darius Goldman, a former head of distressed debt at Katten Muchin Rosenman in New York, has some thoughts about the Big Law business model.