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5 Feb 2010, 1:00 pm
The lawsuit alleges that Bank of America (“BOA”) and certain executives violated New York’s Martin Act, the state’s Blue Sky law. [read post]
3 Jan 2012, 7:37 am
But officials in recent years have questioned whether bank officials committed securities fraud by withholding key information or misleading investors. [read post]
10 Jul 2008, 12:15 pm
Class Action Claims Against Bank of America Preempted by SLUSA (Securities Litigation Uniform Standards Act of 1998) Eighth Circuit Holds Plaintiffs, beneficiaries of trust accounts at Bank of America, filed a class action against the Bank and other defendants alleging violations of federal securities law; the class action complaint also asserted state-law claims for unjust enrichment and breach of fiduciary duty, asserting that federal… [read post]
21 Jun 2018, 3:15 am
Continue reading The post Former Securities America Broker Hector May Submits to Asset Freeze by the United States Attorney for the Southern District of New York appeared first on Investor Lawyers Blog. [read post]
10 Apr 2013, 10:05 am
Or you might need more money in the bank. [read post]
8 Apr 2014, 7:14 am
The Bank has agreed to pay approximately US$9.3 billion to settle allegations that it violated federal and state securities laws in connection with private-label RMBS purchased by Fannie Mae and Freddie Mac between 2005 and 2007. [read post]
17 Dec 2015, 4:55 am
This recent memo from New York’s State Department of Financial Services (NYDFS) to federal and state banking, securities and insurance regulators contains a robust list of potential new cybersecurity requirements that would apply to NY financial institutions – including a requirement to have a designated CISO responsible for (among other things) overseeing and implementing the organization’s cybersecurity program, enforcing its… [read post]
20 Dec 2007, 8:43 pm
TJX still faces claims from an Alabama bank and probes by federal and state officials. [read post]
26 Mar 2009, 2:02 pm
Schapiro testified today on Enhancing Investor Protection and Regulation of the Securities Markets before the United States Senate Committee on Banking, Housing and Urban Affairs. [read post]
21 May 2010, 6:15 am
Shapiro Before the Subcommittee on Securities, Insurance, and Investment of the United States Senate Committee on Banking, Housing, and Urban Affairs, on May 20,... [read post]
23 Nov 2021, 12:00 am
However, not all “computer security incidents” would require notification to bank regulators—only those that rise to the level of a “notification incident,” which means a computer-security incident that has materially disrupted or degraded, or is reasonably likely to materially disrupt or degrade, a banking organization’s— Ability to carry out banking operations, activities, or processes, or deliver… [read post]
6 May 2020, 4:24 pm
On April 30, 2020, the US Federal Financial Institutions Examination Council (FFIEC), an interagency group of federal and state banking regulators, issued guidance on “Security in a Cloud Computing Environment. [read post]
15 Feb 2023, 8:25 am
US Secretary of State Antony Blinken announced his opposition to the move on Monday. [read post]
27 Oct 2021, 3:13 pm
Until 2001 only state-owned banks with limited banking system were active in Afghanistan. [read post]
10 Nov 2009, 11:00 am
The $25 million trigger for state regulation was set in the National Securities Markets Improvement Act of 1996. [read post]
5 Jul 2015, 9:01 pm
Since 2009, Ex-Im has given state-owned foreign airlines over $16 billion in subsidized financing. [read post]
14 Aug 2018, 11:19 am
The Royal Bank of Scotland Group plc (RBS Group) has entered into a $4.9 billion settlement today resolving federal civil claims that RBS Group’s subsidiaries in the United States (RBS) misled investors in the underwriting and issuing of residential mortgage-backed securities (RMBS) between 2005 and 2008. [read post]
16 Apr 2013, 1:52 am
In subsequent regulatory filings, the company has stated that it is investigating possible improper payments in other countries. [read post]
7 Apr 2017, 3:00 am
Bank of N.Y. [read post]
20 Aug 2008, 10:53 pm
Webb Company is suing State Street Bank and Trust Company, State Street Global Advisors (SSgA), and CitiStreet. [read post]
