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7 May 2008, 3:15 am
The banks that were not already incorporated in Delaware or North Carolina (which have laws saying, basically, that banks can charge customers any fee they want), quickly did so. [read post]
23 Nov 2015, 11:03 am
Banks create structured notes, like the Deutsche Bank structured notes tied to oil, by packaging debt with derivatives to offer customized bets to retail investors while earning fees and raising money. [read post]
20 Aug 2011, 10:01 pm
No bank statements were provided. [read blog]
22 Dec 2022, 3:15 am
As Lawrence blogged yesterday on PracticalESG.com, the CFPB posted this consent order with Wells Fargo earlier this week, in which the bank agreed to pay $2 billion to customers to compensate for improper fees and illegal repossessions and foreclosures, along with a record $1.7 billion civil penalty. [read post]
9 Sep 2009, 8:25 am
The Court of Appeals published its opinion in PNC Bank National Association v. [read post]
1 Sep 2021, 8:28 am
Jonathan Stempel of Reuters reports that “Recovery for Bernard Madoff customers bolstered by Citigroup ruling, trustee’s lawyer says. [read post]
26 Jan 2011, 2:46 am
It is painfully obvious that government, mainly in the form of the SEC, was and continues to be inadequate in dealing with the outlaw banking industry. [read post]
10 Mar 2023, 6:43 pm
You gotta feel for BlockFi customers. [read post]
5 Jun 2017, 1:02 pm
The case arises from a breach of customer payment card data. [read post]
5 Jun 2017, 1:02 pm
The case arises from a breach of customer payment card data. [read post]
23 Apr 2021, 3:54 am
Structuring of Eight Bank Deposits Earns FINRA Suspension (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5812/finra-awc-smith/FINRA says that a registered rep borrowed money from two customers, but the loan wasn't actually made directly to the rep but to her limited liability company. [read post]
12 Sep 2022, 4:45 am
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)Florissant Bank Manager Accused of Defrauding Elderly Customers (DOJ Release)New Haven Man Admits Stealing More Than $160K from Retired Woman's Bank Account (DOJ Release)SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud (SEC Release)Federal Court Denies JPMorgan TRO Against Former… [read post]
12 Sep 2022, 4:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6659/securities-industry-commentator/BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)Former SEC Ombudsman Misled Congress, Lied to IG, Probe Alleges (Bloomberg by John Holland)Court orders 'biblically based' RIA and execs to pay $2m over 12b-1 fees (Citywire RIA by… [read post]
7 Nov 2020, 3:38 am
Identities of SEC Whistleblower and Respondent Bank Outed(BrokeAndBroker.com Blog)Christopher Brummer, Plaintiff, v. [read post]
12 Sep 2022, 4:45 am
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)xBanker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)STANDING RESPONSE TO DMCA TAKEDOWN NOTICES PERTAINING TO COVERAGE OF In the Matter of the Arbitration Between Jay Lombard, Claimant vs. [read post]
27 Feb 2023, 3:10 am
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit (BrokeAndBroker.com Blog) 4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling (BrokeAndBroker.com Blog) JOIN the Financial Professionals Coalition, Ltd DOJ RELEASES Niagara Falls Woman Going To Prison For Stealing Hundreds Of Thousands Of Dollars From Investment Firm Clients (DOJ Release) Wells Fargo Agrees to Training on New Companywide Policy to Improve… [read post]
27 Sep 2019, 3:33 am
. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities / Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered (FINRA Release)AG James Imposes $12.5 Million Penalty On Brokerage Firms For Martin Act Violations (NYAG Release)New Jersey Court Sustains Banking/Insurance Commissioners Penalties. [read post]
17 Apr 2012, 9:39 am
In some cases, banking customers fell for “phishing attacks” that spoofed the look and feel of a bank’s email template and asked the customer to provide their username and password. [read post]
30 Apr 2020, 7:44 am
The fees, commonly known as swipe fees, are bank-to-bank charges paid from a merchant’s lender to a card-issuing bank when a purchase is processed. [read post]
24 Jul 2012, 10:29 am
July 3, 2012) that People’s United Bank (d/b/a Ocean Bank) was required to reimburse its customer, PATCO Construction Co., for approximately $580,000 which had been stolen from PATCO’S bank account. [read post]
