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20 Dec 2018, 10:33 am
According to the three agencies, they each found that due to insufficient staffing at UBS Financial Services, alerts of possible suspect activity became backlogged and submission of mandatory Suspect Activity Reports (SARs) to the federal government were delayed. [read post]
26 Aug 2013, 11:10 am
The Department of Justice recently announced that ATI Enterprises Inc. agreed to pay the Government $3.7 million in a settlement to resolve claims that the company had defrauded federal student financial aid programs. [read post]
16 Jan 2013, 12:36 am
These and similar administrative and civil enforcement actions brought by governmental entities have caused considerable concern among officers and directors of financial services companies. [read post]
19 Mar 2015, 5:50 am
Mishkin An Indiana federal court recently granted in part and denied in part the motion of ITT Educational Services, Inc. to dismiss the CFPB’s complaint. [read post]
22 Sep 2011, 10:52 am
" To find additional federal criminal news, please read Federal Crimes Watch Daily. [read post]
22 Sep 2011, 10:52 am
" To find additional federal criminal news, please read Federal Crimes Watch Daily. [read post]
26 May 2015, 6:15 am
In Morgan Drexen, Inc. v. [read post]
24 Nov 2008, 2:00 pm
Discover Bank, an appeal from Discover Bank, Discover Financial Services v. [read post]
3 Apr 2011, 1:59 pm
A federal judge ruled that investors in a private securities fraud action against a failed financial services company adequately alleged the outside auditor’s scienter, its misstatements, and loss causation. [read post]
7 Apr 2022, 3:17 pm
—two of the seven big financial institutions that own Early Warning Services LLC, operator of the Zelle network—are lobbying to expand the service to retail payments. [read post]
22 Sep 2019, 11:29 am
Blutstein, formerly registered with American Portfolios Financial Services, Inc. [read post]
27 Nov 2013, 7:00 am
See Raymond James Financial Services Inc. v. [read post]
6 Apr 2016, 10:23 am
Secret Service and will be prosecuted by Assistant U.S. [read post]
2 Nov 2016, 12:56 pm
., Inc., C.A. [read post]
8 Aug 2012, 12:14 pm
Office of the Comptroller of the Currency would regulate the financial services institutions, allowing Cash America to operate under a uniform set of federal regulations instead of the varying state rules. [read post]
23 Sep 2019, 6:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Rappa, formerly registered with Foresters Equity Services, Inc. [read post]
23 May 2014, 6:00 am
Less than three weeks after the release of Flash Boys, private plaintiffs’ lawyers filed a class action lawsuit against 27 financial services firms and 14 national securities exchanges (with additional defendants likely to be named later) alleging that the defendants’ HFT practices in the US equities markets violated the anti-fraud provisions of the federal securities laws. [read post]
13 Jan 2014, 7:15 am
The Money Suite Company v. 21st Century Insurance and Financial Services Inc., et. al., 1-13-cv-00984 (DED January 9, 2014, Order) (Sleet, J.) [read post]
10 Jun 2013, 9:49 am
The state attorneys general suits, which had been pending in fifteen separate federal district courts, allege that S&P (and Moody’s Investor Service, Inc., in one of the cases) mischaracterized its independence in rating mortgage-backed securities and collateralized debt obligations. [read post]
22 Sep 2018, 10:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Alex Herrera (Herrera), formerly associated with UBS Financial Services Inc. [read post]
