Search for: "Frank Banks"
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8 Feb 2012, 8:05 am
Morgan, Goldman Sachs, Morgan Stanley, and hundreds of other securities firms, banks, and asset managers. [read post]
9 May 2011, 5:00 am
I expect to see several more in the “yes” column before the registration deadline under Dodd-Frank. [read post]
18 May 2012, 2:00 am
While Stevens’ case was ultimately dismissed, prosecutors who handled the case have since restated their intent (and DOJ’s) to prosecute similar cases if the facts occur. 4) DealBook: In Washington, Mixed Messages Over Tighter Rules for Wall Street - There is no doubt that the revelation of a $2 billion trading loss at JP Morgan due to risky hedging could not have come at a worse time for banks as regulators complete Dodd-Frank rulemaking. [read post]
20 Jun 2017, 12:41 pm
The list also includes a $65 million settlement against Stanford International Bank Ltd., which came in as the 37th highest SEC settlement. [read post]
7 Jun 2018, 12:35 pm
Similarly, make a frank assessment of every solution you’re considering. [read post]
14 Aug 2011, 3:12 am
The NIBA event will be September 12, 2011 and the agenda includes: Rules, Regulations, Revenue: Round III with Moderator Steve Pherson from Schuyler Roche Grow Your Business by Hiring the Right People by Pat Lunkes of Parkway Consulting Group Marketing Strategy Makeover by Candyce Edelen & Phil Donaldson of Propel Growth A Bubble in Commodities: What to Look for by Darin Newsom of Telvent DTN Anatomy of an Online Marketing Campaign: Generating Leads Online by Shane Stiles of Gate 39 Media The… [read post]
10 May 2011, 4:27 am
Delma Banks following the Supreme Court’s reversal of his first conviction due to prosecutorial misconduct. [read post]
26 Feb 2012, 1:17 pm
. **** April 18, 2012 4:30 – 6:00 Joint NIBA/CTAEXPO Cocktail Party, Sponsored by Telvent DTN April 19, 2012 8:30 – 9:30 Continental Breakfast Sponsored by DMAXX 9:15 – 9:30 Welcoming Remarks Bucky Isaacson and Frank Pusateri 9:30 – 10:00 An Insider’s View of Marketing Elaine Llyod | Axion Services Group Sponsored by BNY Mellon 10:00 – 10:30 How Family Offices Select Managers Audie Apple | Bessemer Trust Sponsored by Horizon Cash Management 10:30 –… [read post]
15 Aug 2009, 12:11 pm
Barney Frank (D-Mass), who also chairs the House Financial Services Committee, made a motion to pass H.R. 2623 on suspension of the rules. [read post]
27 Apr 2022, 11:58 am
Unlike the Dodd-Frank Act, which established a fund to pay whistleblower awards entirely financed through sanctions collected in enforcement actions brought by whistleblowers, the AML Act relies on Congressional appropriation to receive funding to pay awards. [read post]
2 Apr 2024, 11:52 am
“Kohn has helped draft key whistleblower legislation and regulation, including those incorporated into the Sarbanes-Oxley and Dodd-Frank acts. [read post]
12 Sep 2010, 5:18 pm
The rumor is also going around that Senator Shelby may decide to step down as Ranking Member at the Senate Committee on Banking, Housing and Urban Affairs. [read post]
16 Aug 2010, 6:47 am
The Financial Times (8/9, Eaglesham, Masters) reports that the Dodd-Frank financial reform bill includes new whistleblowing incentives that could mean multimillion dollar rewards for informants and could lead to an increase in allegations against US companies and banks. [read post]
16 Jul 2007, 1:14 am
Frank Dibrino U.S. [read post]
28 Sep 2010, 5:11 am
National Australia Bank holding that that foreign plaintiffs who transacted in foreign shares on a foreign exchange (i.e., “f cubed”) could not bring a 10b-5 action. [read post]
29 May 2011, 10:40 pm
She also said that by covering events that took place before Dodd-Frank was enacted, the proposal fulfills the intent of Congress to protect investors from bad actors. [read post]
19 Nov 2009, 1:18 am
Ruben Hinojosa (PDF 10 KB) Letter Regarding Preparations to Accept Federal Student Loans Through Direct Lending 11/18/2009 Letter to House Financial Services Chairman Barney Frank and Senate Banking, Housing and Urban Affairs Chairman Chris Dodd From Seven House Democrats (PDF 78 KB) Letter Regarding the Federal Reserve System's Relationship With AIG 11/18/2009 Letter to President Barack Obama From a Group of House Republican Leaders (PDF 340 KB) Requests Information on the… [read post]
29 Jul 2019, 12:32 pm
When he first helped expose a massive Swiss banking tax evasion scheme, he went to jail. [read post]
24 Jan 2012, 10:53 am
The Bureau will benefit honest businesses by leveling the playing field and ensuring that financial institutions play by the same set of rules.He also noted that Bureau has launched the first federal nonbank supervision program, one of the central new authorities provided by the Dodd-Frank Act. [read post]
22 Apr 2009, 10:35 am
He won the championship, taking home a purse equivalent to a Monopoly bank: $20,580. [read post]
