Losses & lawsuits / Operational Risk & Regulation
SEC subpoenas Wells Fargo in fraud investigation
Published online only
Source: Operational Risk & Regulation
Bank accused of failing to provide necessary evidence
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Source: Operational Risk & Regulation
City of London Police investigating blocked trade
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Source: Operational Risk & Regulation
Appeal court overturns conviction for code theft
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More Losses & lawsuits / Operational Risk & Regulation articles
UBS could 'get slammed' by FSA enforcement investigation
Published online only
Source: Operational Risk & Regulation
The FSA announces commencement of its formal investigation that could see UBS 'get slammed', according to one legal expert
Adoboli plea will complicate trial, say lawyers
Published online only
Source: Operational Risk & Regulation
'Not guilty' plea could be stalling tactic or attempt to spread guilt, lawyers say
Long-time Madoff employee charged with fraud
Published online only
Source: Operational Risk & Regulation
SEC charges another Madoff executive for his role in the multi-billion dollar Ponzi scheme
Adoboli given extra month to respond to 'rogue trading' charges
Published online only
Source: Operational Risk & Regulation
Ex-UBS trader Adoboli's plea hearing has been adjourned until December
Hedge fund managers charged in connection with multi-billion dollar...
Published online only
Source: Operational Risk & Regulation
Two hedge fund managers have been charged by the SEC with facilitating a multi-billion dollar Ponzi scheme
Citigroup settles CDO charges for $285 million
Published online only
Source: Operational Risk & Regulation
The SEC has ordered Citigroup to pay $285 million to settle charges relating to a short position taken against its own CDO investors
Rajaratnam sentenced to 11 years for Galleon insider trading
Published online only
Source: Operational Risk & Regulation
Galleon insider trader Raj Rajaratnam has been given a record sentence in the US for insider trading
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