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16 Jan 2013, 3:31 am
That is one reason why the banks are now (as the WSJ reports) running for help to “the White House, National Security Agency, Federal Bureau of Investigation, Department of Homeland Security, and Treasury Department. [read post]
28 Oct 2011, 10:44 am
See our discussions of collateralized debt obligations and of securities litigation.The same can apply to courtroom presentations for seemingly complex banking litigation. [read post]
17 May 2011, 7:51 pm
In a perfect world, Social Security funds in your bank account should be immune to garnishment for any unpaid debts. [read post]
16 Sep 2014, 9:24 am
On September 10, the Office of the Comptroller of the Currency (“OCC”) published proposed revisions to its information collecting regulations related to the Dodd-Frank Act’s “stress test” for large national banks and federal savings associations. [read post]
18 Nov 2016, 1:13 pm
Jennifer Beck applauds the restoration of Red Bank’s T. [read post]
18 Mar 2024, 3:00 am
Page 4 Those 5,000 FTE cover a lot of firms: We oversee approximately 40,000 entities—including more than 13,000 registered funds, more than 15,400 investment advisers, more than 3,400 broker-dealers, 24 national securities exchanges, 103 alternative trading systems, 10 credit rating agencies, 33 self-regulatory organizations, and six active registered clearing agencies, among other external entities. [read post]
18 Jun 2015, 6:03 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined National Securities Corporation (NSC) while alleging that in 2013, NSC acted as the exclusive placement agent for two private placements of its parent company, National Holdings Corporation (National Holdings). [read post]
7 Dec 2017, 6:30 pm
Plus, Susan highlights a thoughtful discussion on women in national security. [read post]
9 Jun 2010, 10:34 am
On June 9, 2010, the United Nations Security Council passed new strict economic sanctions against Iran. [read post]
10 Jul 2008, 12:15 pm
The class action argued that the Bank failed to disclose “conflicts of interest, higher expenses, and increased tax liability” that would result from using Nations Funds, and plaintiffs argued on appeal that SLUSA did not preempt their class action’s state-law claims that a trustee breaches its fiduciary duty “by failing to disclose conflicts of interest in its selection of nationally-traded investment securities. [read post]
6 Sep 2019, 7:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/XXXX/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4795/securities-industry-commentator/Schwab is laying off 600 employees amid hit from the Fed’s interest rate cuts… [read post]
30 Nov 2009, 12:47 pm
National Australia Bank Ltd., 547 F.3d 167 (2d Cir. 2008), an important case dealing with the extraterritorial effect of federal securities law. [read post]
11 Dec 2011, 11:18 am
National Australia Bank, the Supreme Court... [read post]
1 Apr 2012, 6:47 am
National Australia Bank, by Wulf A. [read post]
9 Apr 2009, 10:24 am
Federal stress tests of the nation's big banks are a "lose-lose-lose" proposition, Richard Bove, the banking analyst from Rochdale Securities, argued in a report late last week. [read post]
15 Nov 2007, 6:41 am
A federal judge in Ohio, Judge Boyko in Cleveland, asked a straightforward question of Deutsche Bank National Trust Company, a trustee for securitization pools of mortgage backed securities. [read post]
31 Mar 2019, 8:08 am
However, as The Brookings Institute reports, an estimated 360 banks and credit unions are working with marijuana businesses nationally – and they collectively file about 2,000 suspicious activity reports a month pertaining to these business relationships. [read post]
4 Dec 2008, 5:22 pm
Not only is their stock now worthless, so, too, may be their claims against the bank for securities violations. [read post]
22 Jun 2022, 6:53 am
However, beyond the sovereignty-based need for data embassies, nation-states also need to plan and prepare to preserve and secure vital data ranging from government, education, and banking information to private sector registries and databases to ensure the continuity of commerce, coordination, and culture. [read post]
23 Jun 2011, 9:52 pm
Both mortgage-backed securities lawsuits claim that large investment banks sold securities to institutional investors that held subprime loans as Triple-A rated investments. [read post]
