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15 Nov 2023, 6:26 am
For example: Twenty-five advisory firms, broker-dealers, and/or credit rating agencies, including Wells Fargo, HSBC, and Scotia Capital, agreed to pay combined civil penalties totaling more than $400 million to settle charges that they violated the recordkeeping requirements of the federal securities laws; and ABB Ltd., a global technology company, agreed to pay a $75 million civil penalty to resolve charges arising out of an alleged bribery scheme. [read post]
14 Nov 2023, 9:01 pm
For example: Twenty-five advisory firms, broker-dealers, and/or credit rating agencies, including Wells Fargo, HSBC, and Scotia Capital, agreed to pay combined civil penalties totaling more than $400 million to settle charges that they violated the recordkeeping requirements of the federal securities laws; and ABB Ltd., a global technology company, agreed to pay a $75 million civil penalty to resolve charges arising out of an alleged bribery scheme. [read post]
24 Oct 2023, 9:01 pm
I’d like to start by returning to a theme that I’ve touched on before, and that is how public trust in our institutions is faltering.[1] No sector is immune from this trend. [read post]
9 Oct 2023, 1:21 pm
JOIN TODAY -- FREE MEMBERSHIP DOJ SEC CFTC FINRA FINRA Censures and Fines HSBC Securities (USA) for Inaccurate Research DisclosuresIn the Matter of HSBC Securities (USA) Inc., Respondent (FINRA AWC) FINRA Fines and S... [read post]
6 Oct 2023, 9:00 am
Visa’s Friendly Fraud Rule Change Could Cut $1 Billion From Small Firms’ Chargeback CostsDigital Transactions News – September 29, 2023 Visa Inc. is touting recent changes to how chargebacks that [read post]
1 Oct 2023, 9:05 pm
While the HSBC case centers around money, the GM and Boeing cases center around the death of hundreds of innocent people. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
14 Jun 2023, 1:09 pm
(CRD# 8174) of Buffalo, NY, and HSBC Securities (USA) Inc. [read post]
11 May 2023, 12:36 pm
HSBC Securities Inc and Scotia Capital have agreed to pay $15 million and $7.5 million, respectively, to settle charges with the SEC. [read post]
11 May 2023, 6:21 am
The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve electronic communications. [read post]
28 Mar 2023, 6:52 am
HSBC Sec. [read post]
20 Mar 2023, 12:52 pm
The opinion and two concurrences in Fikes Wholesale, Inc. v. [read post]
13 Oct 2022, 1:55 pm
Supreme Court’s 2021 decision in Goldman Sachs Group Inc. v. [read post]
29 Aug 2022, 7:50 am
The best-known of these is, of course, Meta, Inc. [read post]
12 Aug 2022, 6:34 am
” “Some of the deals Kirkland has invested in alongside clients include taking stakes in Blackstone Inc. [read post]
18 Jul 2022, 2:46 pm
Kirk, a member of HSBC’s Responsible Investing Team at the FT’s Moral Money Summit in mid-May 2022, HSBC committed to ending financing of coal-fired power and thermal coal mining in the EU and OECD by 2030, and worldwide by 2040. [read post]
3 Jun 2022, 10:58 am
"An employee is constructively discharged when her or his employer, rather than discharging the plaintiff directly, deliberately created working conditions so intolerable that a reasonable person in the plaintiff's position would have felt compelled to resign" (Golston-Green v City of New York, 184 AD3d at 44; see Nelson v HSBC Bank USA, 41 AD3d 445, 447). [read post]
3 Jun 2022, 10:58 am
"An employee is constructively discharged when her or his employer, rather than discharging the plaintiff directly, deliberately created working conditions so intolerable that a reasonable person in the plaintiff's position would have felt compelled to resign" (Golston-Green v City of New York, 184 AD3d at 44; see Nelson v HSBC Bank USA, 41 AD3d 445, 447). [read post]
3 Jun 2022, 10:58 am
"An employee is constructively discharged when her or his employer, rather than discharging the plaintiff directly, deliberately created working conditions so intolerable that a reasonable person in the plaintiff's position would have felt compelled to resign" (Golston-Green v City of New York, 184 AD3d at 44; see Nelson v HSBC Bank USA, 41 AD3d 445, 447). [read post]
3 Jun 2022, 10:58 am
"An employee is constructively discharged when her or his employer, rather than discharging the plaintiff directly, deliberately created working conditions so intolerable that a reasonable person in the plaintiff's position would have felt compelled to resign" (Golston-Green v City of New York, 184 AD3d at 44; see Nelson v HSBC Bank USA, 41 AD3d 445, 447). [read post]
