Judge tosses UBS’ attempt to have $1M arbitration award quashed
Intense Life Desires A federal judge has rejected UBS’ longshot attempt to have overturned a $1 million penalty...
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Judge nixes ex-Well Fargo broker’s tax write-off claim
When Francisco Gil was an advisor at Wells Fargo, he twice used a tax form...
Judge denies Merrill TRO request with $129B breakaway
A judge has rejected Merrill’s request for a temporary restraining order against a large group...
Judge Margaret Ryan is ‘unconventional’ pick for SEC enforcement chief
Judge Margaret “Meg” Ryan. The military appeals court judge tapped to helm the Securities and...
Armed forces judge to lead SEC enforcement
Margaret “Meg” Ryan will lead the Securities and Exchange Commission’s enforcement division, putting a military...