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20 Jun 2020, 1:50 am
Berman (DOJ Release / June 20, 2020)Robinhood increases guardrails on options trading in the wake of a customer suicide (CNBC by Kate Rooney)U.S. banks are 'swimming in money' as deposits increase by $2 trillion amid the coronavirus (CNBC by Hugh Son)U.S. [read post]
29 Apr 2022, 12:40 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6431/securities-industry-commentator/A Customer Complaint That Wasn't and A Servicing Broker Who Wasn't (BrokeAndBroker.com Blog)SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining (SEC Release)APPLETON MAN SENTENCED TO 15 YEARS' IMPRISONMENT FOR PONZI SCHEME (DOJ Release)Providence Man… [read post]
14 Apr 2021, 8:00 am
The Trust, The Beneficiary, The Annuity, The Elderly Customer, and The Stockbroker (BrokeAndBroker.com Blog)Three Brooklyn Residents Charged in Money Laundering Scheme with Stealing Over $30 Million from Foreign Banks / Defendants and Co-Conspirators Allegedly Created Duplicate Keys to Steal Cash and Valuables from Safe Deposit Boxes (DOJ Release)Camden County Man Arrested for Wire Fraud (DOJ Release)Court Enters Final Judgment Against Investment Adviser Who Defrauded Retired… [read post]
3 Jul 2016, 8:23 am
(FDIC Press Release.)Related posts: FDIC Ombuds Reports Strong Growth in Visitor Traffic; FDIC Ombuds Creates Unit for Bank Customers; Job Posting; Coalition of Federal Ombudsmen Posts 2013 Meeting Minutes; Job Posting (2014). [read post]
20 Nov 2014, 9:16 am
Customers of major corporations like Target, Home Depot, JPMorgan Chase, Bank of America and Neiman Marcus have been the targets of malware, phishing schemes and other malicious acts of cyber crime within the past year. [read post]
17 Jan 2020, 12:06 am
Former Cruise Line Call Center Rep Pleads Guilty to Threatening Customer (DOJ Release)Venezuelan Man Sentenced for Aggravated Identity Theft and Access Device Fraud (DOJ Release)[In]Securities Guest Blog: Driving That ESOP Trolley by Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Awards Whistleblowers Whose Information Helped Stop Fraud (SEC Release)Montgomery County Man Pleads Guilty to Bank Fraud & Aggravated Identity Theft (DOJ Release)FINRA Imposes Fine and Principal… [read post]
15 Jul 2014, 6:53 am
National Australia Bank. [read post]
19 Nov 2014, 4:54 am
Those are all terms that should set off alarms for any registered representative asked to accept such a role for a customer. [read post]
18 Jun 2013, 10:07 am
Cyber fraud; i.e. hacking into customer accounts. [read post]
6 Sep 2019, 7:08 am
As set forth in part in the DOJ Release:In connection with the guilty plea, the court was advised that in February 2019, Citizens Bank replacement debit cards and PIN reminders were fraudulently ordered for several customers in McMurray, Pennsylvania. [read post]
15 Jul 2023, 6:24 pm
Pacifici highlights news, government reports and industry white papers as well as academic papers on the subject of AI's fast paced impact on the banking and finance sectors. [read post]
20 Apr 2015, 11:00 pm
This Commercial Law Update seeks to demystify the Dodd-Frank Act swap regulations applicable to commercial lenders, particularly community banks, and to reassure lenders that offering swap transactions to their customers gives them an opportunity to secure a competitive advantage. [read post]
20 Apr 2015, 11:00 pm
This Commercial Law Update seeks to demystify the Dodd-Frank Act swap regulations applicable to commercial lenders, particularly community banks, and to reassure lenders that offering swap transactions to their customers gives them an opportunity to secure a competitive advantage. [read post]
7 Dec 2015, 2:05 am
On top of the issue of jurisdiction, we are asked to consider whether the challenged deposits constituted an improper "conversion" by the agent/registered rep notwithstanding that before any lapse had occurred, the premium payments were deposited into the insurance company's bank account. [read post]
12 Jun 2023, 4:15 am
There's Something Happening Here at a FINRA Customer Arbitration; What It Is Ain't Exactly Clear. [read post]
3 Feb 2021, 5:30 am
[Verge] * A bank has repossessed a private plane owned by a San Antonio lawyer. [read post]
18 Sep 2020, 1:36 pm
Updated frequently and with a customized email alert system, this database is a good source for users to stay current of the recent development of EU law.Please access EU Law Live from the Law Library's Database List. [read post]
14 Aug 2020, 5:49 am
FINRA Arbitrators Find Customer Complaint Made Virtually No Sense During Virtual Hearing (BrokeAndBroker.com Blog)Citigroup Finds $900 Million Mistakes Are Hard to Undo / The U.S. bank says cash it paid out in error should be returned. [read post]
12 Jun 2023, 4:15 am
There's Something Happening Here at a FINRA Customer Arbitration; What It Is Ain't Exactly Clear. [read post]
22 Apr 2015, 6:35 am
Ya got yer UBS -- which was the Union Bank of Switzerland. [read post]
