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27 Dec 2013, 6:36 am
The ink wasn’t even dry on last month’s landmark $13 billion settlement for mortgage loan fraud when the U.S. [read post]
12 Nov 2015, 6:49 am
The adviser at issue, Parallax Capital Partners, LLC, is a registered investment adviser that focuses primarily on mortgage-backed bonds and other similar fixed income securities. [read post]
7 Apr 2009, 5:53 am
It’s not easy to contact a mortgage servicer. [read post]
30 Dec 2014, 6:17 am
As Center Street’s CCO, Lamb was allegedly responsible for the firm’s compliance functions. [read post]
14 Oct 2021, 5:16 pm
Redwood Wealth had some of its advisory clients invest in an affiliated mortgage company. [read post]
14 Oct 2021, 5:16 pm
Redwood Wealth had some of its advisory clients invest in an affiliated mortgage company. [read post]
3 Aug 2013, 7:07 am
For example, monies that could be claimed by the City of Rochester have been filed as belonging to: CITY CLERK OF ROCHES CITY CLERKS OFFICE 30 CHURCH STREET R00M 100-A ROCHESTER NY 14614 STERLING COLLISION CENTERS ROCHESTER CITY CITY HALL 30 ROCHESTER NY 14614 CCO MORTGAGE CORP HOLDER 014360 ROCHESTER POLICE DEPT JEANNE MARCIANO SIS 150 PLYMOUTH AVE S S TE 620 ROCHESTER NY 14614 VERIZON WIRELESS Again, the Comptroller’s… [read post]
23 Nov 2012, 7:00 am
Common deficiencies identified in compliance reviews include inadequate compliance systems, CCOs not adequately performing responsibilities, inadequate relationship disclosure information, inaccurate calculations of excess working capital, inappropriate sales of registrants' securities to clients, and the failure by CCOs to submit annual compliance reports. [read post]
30 Mar 2021, 1:02 pm
According to a Letter of Acceptance Waiver and Consent posted on FINRA’s site on March 29, the regulator has sanctioned American Independent Securities Group (CRD #135288) and its chief compliance officer (CCO) for supervisory issues related to collateralized mortgage obligations (CMOs). [read post]
13 Jan 2011, 5:00 am
There are some good lessons in this case for CCOs. [read post]
18 Oct 2011, 4:28 pm
The lawsuit, which was filed on October 13, 2011, names as defendants: MERSCORP, INC. and Mortgage Electronic Registration System, Inc., but also names: Home Savings and Loan Inc., Bank of America Corp, CCO Mortgage Corp, Chase Home Mortgage Corp, Citimortgage Inc, Corelogic, Corinthian Mortgage Corp, Everhome Mortgage Corp, GMAC, Guaranty Bank, HSBC Bank, MGIC Investors Services, Nationwide Advantage Mortgage, PMI Mortgage… [read post]
18 Oct 2016, 5:00 am
” CCOs, he said, have every right to be horrified at the possibility of SEC enforcement. [read post]
25 Mar 2021, 7:15 am
The Division will continue to focus on whether CCOs are vested with sufficient autonomy to effectively carry out a firm’s compliance program and whether a firm has dedicated sufficient resources to compliance. [read post]
10 Jun 2019, 3:00 am
The policy was important because the fund focused on thin-traded mortgage-backed securities. [read post]
2 May 2023, 9:01 pm
Advisers now report more than $25 trillion in private fund gross asset value[2] amongst tens of thousands of funds.[3] The reported assets surpass the size of the total $23 trillion banking sector.[4] In 1998, the industry had $800 billion to $1 trillion in assets with only a few thousand funds.[5]This represented 20-25 percent of the then $4-plus trillion banking sector.[6] The private fund industry plays an important role in each sector of the capital markets, whether it’s equity, treasury,… [read post]
22 Jan 2008, 3:19 am
First National Mortgage Sources, LLC et alfiled 02/26/07 closed 07/25/071:07-cv-01111Playboy Enterprises International, Inc. v. 3E Trading, LLCfiled 02/26/07 closed 01/03/081:07-cv-01216GLJ, LLC v. [read post]
