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22 May 2023, 4:15 am
FEDERAL DEPOSIT INSURANCE CORPORATION (Opinion, United States Supreme Court) CFPB Action to Require Citizens Bank to Pay $9 Million Penalty for Unlawful Credit Card Servicing / Citizens failed to properly manage and respond to customers’ credit card disputes and fraud claims (CFPB Release) DOJ RELEASES ... [read post]
7 Sep 2012, 8:37 am
Why don’t brokerages escrow capital gains taxes in a manner similar to a bank escrow of property taxes on a mortgage? [read post]
15 Apr 2023, 6:58 pm
; Firefox rolls out Total Cookie Protection by default to more users worldwide; Why Banks Are Suddenly Closing Customer Accounts; and A Real-Time Website Privacy Inspector. [read post]
30 Jan 2023, 4:17 am
The FINRA Regulatory Mule Kicks Defrauded Customers In the Head (BrokeAndBroker.com Blog) The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months (BrokeAndBroker.com Blog) Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA (BrokeAndBroker.com Blog) DOJ RELEASES U.S. [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]
24 Jun 2010, 9:29 pm
— 1407, Over Objection of Common Class Action Defendants, but Transfers Class Actions to Northern District of Georgia Two class actions – one in the Georgia and one in Virginia – were filed against Capital One Financial and its wholly-owned subsidiary, Capital One Bank (USA) based on the claim that Capital One “unilaterally increased interest rates on customers’ credit card accounts without notice. [read post]
3 Apr 2023, 4:20 am
JOIN TODAY -- FREE MEMBERSHIP DOJ RELEASES California Man Charged in $23 Million Fraudulent Investment Scheme (DOJ Release) Former Fresno Bank Employee Pleads Guilty to Stealing More Than $70,000 from Customers’ Accounts (DOJ Release) ... [read post]
10 Apr 2023, 4:02 am
JOIN TODAY -- FREE MEMBERSHIP DOJ RELEASES Osceola County Mortgage Loan Officer Convicted Of Bank Fraud And Aggravated Identity Theft Charges Involving Forging Of Judges’ Signatures (DOJ Release) Fugitive financial ad... [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)New York Man Sentenced to Four Years in Prison for Role in Bank Fraud (DOJ Release)North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme (DOJ Release)SEC Charges Previously-Barred… [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]
2 Jun 2013, 3:50 am
Wave Lending Limited is a subsidiary of Bank of America Corporation, has taken down their Part 2 requirements from the CML Handbook The home page for Wave Lending now states: ‘Wave has ceased all mortgage origination activity. [read post]
3 Mar 2007, 9:13 pm
An op-ed in the Arab American News by Ihsan Alkhatib suggests that banks are closing accounts with people who do business with Saudis; the "know your customer" requirements and fear of liability for being associated with terrorists make the costs of keeping those accounts open prohibitive. [read post]
14 Jul 2022, 7:38 am
Experience has shown that certain new entrants such as some Fintech companies have an insufficient understanding of their AML/CFT obligations and suffer from structural weaknesses in their customer due diligence and know-your-customer frameworks. [read post]
9 Feb 2010, 12:26 pm
The fiduciary standard includes, but goes beyond, the requirement that a broker only recommend a security if it is suitable for the customer based on that customer’s investment objectives, risk tolerance and financial situation. [read post]
29 May 2009, 2:51 pm
The SEC has taken action that should send shivers up the spines of many of Wall Street investment banks. [read post]
6 Feb 2010, 9:00 pm
Swiss banks also routinely monitor customer accounts, consistent with international anti-money laundering standards. [read post]
23 Oct 2012, 9:19 am
Deutsche Bank's Boston office employed a registered representative who engaged in questionable conduct, including: borrowing $220,000 from a customer, issuing personal checks totaling $860,000 which were returned for insufficient funds, failing to repay the customer loan in full, failing to obtain Firm approval to borrow from a customer, and charging personal expenses to a corporate credit card. [read post]
1 Jun 2023, 8:30 am
The nature of customers and their behaviour, for example, customers who use IP addresses that are linked to the dark-net or customers that are involved in crypto mining in high-risk jurisdictions. [read post]
6 Mar 2008, 7:35 pm
The bank first went after Wikileaks directly, after someone posted confidential bank documents that allegedly prove the bank participates in money laundering and tax evasion. [read post]
