Search for: "Jacquelyn Banks"
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11 Jun 2012, 1:17 am
Jacquelyn Torado, 42, Westbury, New York, Neal Sultzer, 61, Plainview, New York, and Kevin Hymes, 39, Armonk, New York, and former attorney Michael Schlussel, 50, Merrick, New York, pled guilty to conspiring to commit wire fraud and bank fraud in connection with a $66 million mortgage fraud scheme involving over 100 home mortgage loans for residential properties in the New York City area. [read post]
8 Mar 2017, 9:13 am
By Jacquelyn LumbBank of America Corporation and Wells Fargo & Company may not omit shareholder proposals asking their boards to consider whether divestiture of all non-core banking business segments would enhance shareholder value and whether they should divide into a number of independent firms. [read post]
6 May 2015, 6:56 am
By Jacquelyn LumbCommissioner Kara Stein issued a dissenting statement in response to the staff’s waiver which was granted yesterday to Deutsche Bank AG. [read post]
3 Aug 2016, 8:05 am
By Jacquelyn LumbCommissioner Michael Piwowar, in remarks before the quadrilateral meeting of the Financial Markets Law Committee, the Financial Markets Lawyers Group, the Financial Law Board, and the European Financial Markets Legal Group, in London, explained his opposition to calls for prudential market regulation of the capital markets and suggested instead applying market-based prudential regulation to banks. [read post]
21 Jul 2015, 8:00 am
By Jacquelyn LumbThe SEC’s Divisions of Trading and Markets, Investment Management, and Corporation Finance have updated their responses to frequently asked questions about the Volcker Rule to address the seeding period treatment for registered investment companies (RICs) and foreign public funds (FPFs). [read post]
4 Mar 2015, 5:33 am
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbCommissioner Kara Stein last month spoke in Tokyo, Japan, about the changes the Dodd-Frank Act’s Volcker rule brought to the U.S financial system. [read post]
27 Feb 2012, 7:04 am
Guest post by Jacquelyn Merrill. [read post]
14 Aug 2017, 7:39 am
By Jacquelyn LumbWhile PCAOB standards technically apply only to audits of public companies, the American Bankers Association (ABA) believes the Board’s proposal on auditing estimates, including fair value measurements, will have a significant impact on the audits of banking institutions. [read post]
7 Jul 2017, 5:00 am
By Jacquelyn LumbThe Securities Industry and Financial Markets Association and The Clearing House Association L.L.C. have submitted their views to the SEC regarding potential revisions to Industry Guide 3, Statistical Disclosure by Bank Holding Companies, in which they noted that the guide mostly overlaps or duplicates existing disclosure requirements. [read post]
15 Jan 2015, 11:49 am
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbThe staff of the SEC’s Division of Corporation Finance has advised SunTrust Banks, Inc. that it may not omit a shareholder proposal seeking annual disclosure of any recoupments or forfeitures of senior executives’ incentive compensation under the bank’s recoupment policy. [read post]
12 Jan 2018, 12:19 pm
Commissioner Kara Stein talked about the changes to the market with new investors entering and banks reducing their holdings. [read post]
22 Sep 2016, 5:00 am
By Jacquelyn LumbStaff from the SEC’s Office of the Chief Accountant provided updates at the AICPA’s annual conference on banking and savings institutions, which included the areas of internal control over financial reporting, auditor independence, non-GAAP financial measures, and revenue recognition. [read post]
14 Aug 2014, 4:11 pm
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbThe president and CEO of the Federal Reserve Bank of Boston has called for a comprehensive reevaluation of broker-dealer regulations. [read post]
8 May 2020, 9:51 am
Mendoza, who was working as a bank teller when she was injured, sued the owner of the property, Mt. [read post]
4 Dec 2010, 2:02 pm
” – Jacquelyn Carpenter, “Camouflaged in Immutability” Obviously Carpenter has never been the parent of two teenage white boys. [read post]
19 Apr 2016, 8:57 am
The American Bankers Association wrote that the SEC should exempt bank transfer agents from rules that conflict with or duplicate existing federal banking rules. [read post]
27 May 2013, 4:36 pm
Canino pled guilty in April 2012 to conspiracy to commit wire fraud and bank fraud in connection with the scheme, and was sentenced by U.S. [read post]
12 Feb 2016, 5:00 am
Mehraban cited, as an example, the recent action against 11 Superior Bank officers and directors for concealing the extent of loan losses during the financial crisis. [read post]
4 Jun 2015, 12:05 pm
By Jacquelyn LumbThe SEC’s Division of Corporation Finance has determined that Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation have made a showing of good cause for why it is not necessary to deny their reliance on Rule 506 of Regulation D based on their violation of Regulation SHO. [read post]
4 Aug 2011, 12:27 pm
The attorneys allegedly received loan proceeds from the banks and submitted false paperwork about how those moneys were distributed, instead making large, illicit payments to their co-conspirators, prosecutors said. [read post]
