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31 Mar 2021, 9:30 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5783/securities-industry-commentator/Customer Complaints and Away Settlements -- Matters of Interpretation? [read post]
21 May 2021, 3:23 am
Consumers (DOJ Release)Second Man Sentenced to Prison in Traveling Bank Fraud (DOJ Release)Maryland Man Pleads Guilty to Financial Scams Using Online Dating Sites (DOJ Release)Worcester Man Charged With Attempting to Fraudulently Purchase $83,000 Sports Car (DOJ Release)SEC Obtains Final Judgment Against Broker Charged with Defrauding Customers (SEC Release)... [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]
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]
26 Mar 2020, 6:02 am
To support banks’ focus on key operations and to limit any non-essential requests in the short term, the EBA has reviewed all ongoing activities requiring inputs from banks in the next months. [read post]
17 Aug 2012, 11:10 am
The banks are refusing to work with their customers to modify loans or reduce the cost of the mortgage. [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]
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]
31 Dec 2008, 4:30 am
The plaintiff, seeking to represent a class of Colonial Bank’s Georgia customers who obtained home loans from Colonial Bank, paid off their loans, but whose security deeds were allegedly not timely cancelled under Georgia law, claimed entitlement to $500 statutory damages for himself and each class member. [read post]
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]
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]
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]
17 Feb 2013, 12:50 pm
This will benefit retail customers and ultimately also taxpayers. [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]
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]
5 Feb 2009, 5:12 pm
“I have never been an investor or customer of Bernard L. [read post]
1 Oct 2012, 7:15 am
Or, there are implied disclaimers where the customer signs a bank form without checking the entireties box that was offered on the form as an option. [read post]
28 Sep 2015, 8:58 am
According to FINRA, from July 2013, to June 2014, Adams exercised de facto control over two customers’ accounts referred to by the initials “AD” and “PV”. [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]
