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2 Aug 2017, 1:53 am
The draft circular shall govern how financial institutions are expected to control and manage the development and distribution of financial products in the retail customer segment. [read post]
1 Sep 2014, 5:01 am
The practical effect is that failure by the customer to report the income will cause the IRS computers to make an adjustment because there is no entry on the customer’s income tax return matching the Form 1099.The court treated the miles received from the bank as interest, that is, an amount provided to the taxpayer for depositing money into an account available to the bank for its use. [read post]
25 Feb 2015, 5:05 pm
But the most important lesson is for software vendors, who should learn that attempting to intercept their customers’ encrypted HTTPS traffic will only put their customers’ security at risk. [read post]
7 Oct 2011, 2:46 am
He pointed out that banks were often criticised for not giving the customer an alternative after being declined a home loan. [read post]
29 Jun 2016, 2:17 pm
” According to the groups, the proposal’s requirements, including its exceptions to an ability to repay analysis, are “inconsistent with how credit unions and community banks that know their members and customers underwrite a loan for a relatively small amount of money. [read post]
9 Mar 2017, 4:46 pm
When they try to open a bank account elsewhere, they are told they cannot be accepted as customer. [read post]
27 Jun 2022, 9:45 am
The court says that between July 2007 and December 2008 a customer relations employee allowed a Bulgarian cocaine trafficking organization to launder more than 19 million francs through the bank. [read post]
3 Feb 2012, 2:11 pm
Several other companies have backed off of controversial changes recently due to public outcry, including Bank of America and Netflix. [read post]
21 Jul 2020, 4:30 am
SEC Alleges Michael Carter Falsified 60 Internal Forms to Transfer Funds From Brokerage Customers to His Personal Bank Account Knoxville, TN resident and former McLean, VA Morgan Stanley broker Michael Barry Carter, aka Mike Carter, is currently the defendant in a recent case filed by Securities and Exchange Commission under review by broker misconduct lawyer Alan Rosca and his colleagues at Goldman Scarlato & Penny. [read post]
21 Jul 2020, 4:30 am
SEC Alleges Michael Carter Falsified 60 Internal Forms to Transfer Funds From Brokerage Customers to His Personal Bank Account Knoxville, TN resident and former McLean, VA Morgan Stanley broker Michael Barry Carter, aka Mike Carter, is currently the defendant in a recent case filed by Securities and Exchange Commission under review by broker misconduct lawyer Alan Rosca and his colleagues at Goldman Scarlato & Penny. [read post]
28 Jan 2019, 9:00 am
He asked for any documents related to the banks “internal analysis of its process to identify and vet customers. [read post]
18 Mar 2017, 12:40 pm
A MINNESOTA BANK received a call in January from who they thought was Douglas, their customer, asking to wire transfer $28,500 from a line of credit to another bank. [read post]
13 Jan 2011, 8:01 am
An e-mail written by one of the investigators suggests that the investigators could have also used an "information purveyor" to try to access the ex-husband's supposed bank customer file. [read post]
17 Feb 2013, 12:50 pm
This will benefit retail customers and ultimately also taxpayers. [read post]
10 May 2020, 10:00 pm
Many asset managers are forming funds focused on liquid credit opportunities, secondary portfolio purchases and, as with the expansion of nonbank lending after the 2008 global financial crisis, providing customized solutions to distressed and other borrowers that are either unable or unwilling to borrow from traditional banks. [read post]
4 Mar 2022, 10:21 am
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (SEC Release)SEC Obtains Final Judgment Against Operator of Fraudulent Digital Asset Trading Fund (SEC Release)FINRA Fines Deutsche… [read post]
1 Mar 2024, 3:45 pm
Judge Denies Law Student's Cross-Examination Request: Can't customize everything. [read post]
10 May 2020, 10:00 pm
Many asset managers are forming funds focused on liquid credit opportunities, secondary portfolio purchases and, as with the expansion of nonbank lending after the 2008 global financial crisis, providing customized solutions to distressed and other borrowers that are either unable or unwilling to borrow from traditional banks. [read post]
10 May 2020, 10:00 pm
Many asset managers are forming funds focused on liquid credit opportunities, secondary portfolio purchases and, as with the expansion of nonbank lending after the 2008 global financial crisis, providing customized solutions to distressed and other borrowers that are either unable or unwilling to borrow from traditional banks. [read post]
5 Jun 2023, 4:09 am
Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers (BrokeAndBroker.com Blog) Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation (BrokeAndBroker.com Blog) Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections DOJ RELEASES Former Co-Owner Of Minnesota Vikings Sentenced To 75 Months In Prison For Providing Shadow Banking Services… [read post]
