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16 Apr 2019, 10:53 am
Since July 2014 Sparacino has been registered with First Standard Financial out of the firm’s Red Bank, New Jersey office location. [read post]
26 Aug 2020, 9:13 am
The complaint filed by the SEC alleges that Carter, a currently-barred broker who was last registered with Morgan Stanley in their McLean, Virginia office, made dozens of unauthorized wire transfers from his client’s accounts to his personal bank account, which amounted to millions of dollars. [read post]
31 May 2021, 1:10 pm
The complaint alleged that Batstone willfully violated Section 10(b) of the Securities Exchange act of 1934, and Rule 10b-5(a)-(c), and FINRA Rule 2010, by transferring client funds into his personal bank accounts. [read post]
7 Oct 2015, 8:17 pm
There are arbitration clauses in all kinds of consumer financial products, from bank accounts to private student loans. [read post]
17 Feb 2011, 7:18 am
Secret Service and Immigration and Customs Enforcement, as well as state and local authorities. [read post]
9 Feb 2009, 9:00 am
., former Attorney General Eliot Spitzer, pictured right, filed suit on behalf of New Yorkers who had been solicited for credit cards by Cross Country Bank (CCB). [read post]
11 Jun 2011, 1:12 pm
The investigation began after an Eircom customer complained that he had wrongly received a "first strike" letter. [read post]
Austin Dutton and Newbridge Securities Sanctioned By the State of Pennsylvania Over Securities Sales
10 Oct 2017, 7:54 am
According to a BrokerCheck report Dutton recommended the purchase of a security to at least one customer without reasonable grounds to believe that the transaction was suitable for the customer. [read post]
24 Jan 2013, 6:04 am
The purpose of the guidance is to help banks, savings associations, credit unions, and non-bank entities supervised by the Consumer Financial Protection Bureau (CFPB) understand and address the risks created by the applicability of federal consumer protection and compliance laws to activities conducted through social media. [read post]
31 Dec 2013, 2:39 pm
The retailer stated that hackers obtained information known as “track data”: customer names as well as debit or credit card numbers and card verification values (CVVs). [read post]
25 Sep 2013, 6:30 am
The court found that the prohibition on the defendant from entering "into any relationship" with a bank was ambiguous and ill-defined. [read post]
4 Nov 2024, 10:00 pm
PRACTICAL GUIDANCE CUSTOMER EMAIL EDITION ON THE WEB Experience results today with practical guidance, legal research, and data-driven insights—all in one place. [read post]
14 Aug 2019, 4:34 am
Originally, customers were told to continue paying their debt, Reuters reported, but the company confirmed Friday to USA TODAY the debt was now cancelled. . . . [read post]
6 Dec 2010, 7:53 pm
" The bottom line is this: Banks began offering overdraft protection to meet customer demand. [read post]
20 Feb 2007, 4:50 am
Specifically, Deutsche Bank's account agreements with plaintiffs provide, "No person shall ... seek to enforce any pre-dispute arbitration agreement against any person ... who is a member of a putative class ... until (1) the class certification is denied; or (2) the class is decertified; or (3) the customer is excluded from the class by the court. [read post]
3 Mar 2012, 1:08 pm
Florida Statutes § 670.202(3) states that the commercial reasonableness of a security procedure is a question of law to be determined by considering the wishes of the customer expressed to the bank; the circumstances of the customer known to the bank, including the size, type, and frequency of payment orders normally issued by the customer to the bank; alternative security procedures offered to the customer; and security… [read post]
8 Feb 2016, 7:35 pm
There is very little emotion or sensitivity for the struggling taxpayer who is burdened by a bank levy or wage garnishment. [read post]
21 Oct 2011, 9:52 am
Assuming the average customer makes 25 debit card transactions each month, that’s $5 per customer that Bank of America is losing under the new swipe fee. [read post]
18 Apr 2012, 6:00 am
” Other banking regulators have had guidance in place for years relating to a bank’s use of third-party service providers. [read post]
9 May 2022, 1:50 pm
., confirms that such fees are properly sourced to the location of the customer responsible for payment, in this case two banks. [read post]
