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17 Dec 2008, 5:00 am
whether the information originated in the United States; and 6. [read post]
29 Nov 2013, 5:14 am
Miller and Wellons did not purchase an investment unit. [read post]
25 Sep 2013, 1:08 am
The government also relied on claims under FIRREA in the civil action it filed against Moody’s and its Standard & Poor’s unit in connection with the unit’s credit rating activities (as discussed here). [read post]
21 Mar 2009, 3:01 pm
(part of Bank of New York Mellon Corp.) , a trustee for the mortgage-backed securities issued by Countrywide was also named as a defendant. [read post]
4 Jun 2020, 10:31 am
FINRA said that customers holding 13,328 accounts were allegedly charged unnecessary sales fees and charges from April 2011 to April 2017 at the bank’s Merrill Lynch unit. [read post]
23 Jan 2024, 11:29 am
” These legitimate customers filed claims forms with the United States seeking a return of the stuff in their security deposit boxes. [read post]
20 Dec 2015, 6:15 am
The United States Social Security Administration (SSA) has stated that there was some kind of problem with the Supplemental Security Income benefits payment file. [read post]
8 Feb 2012, 6:40 am
This section amended Section 3(c) of the Bank Holding Company Act of 1956 (“BHC Act”) to require the FRB, when evaluating a proposed bank acquisition, merger, or consolidation, to consider “the extent to which [the] proposed acquisition, merger, or consolidation would result in greater or more concentrated risks to the stability of the United States banking or financial system”. [read post]
24 Mar 2008, 9:53 am
In December, 2007, Bank of America announced that it would provide as much as $600 million to prop up several of its funds which were managed by its Columbia Management investment unit. [read post]
24 Jul 2009, 2:24 am
On Tuesday, July 21, 2009, the head of the Florida Office of Insurance Regulation (“FLOIR”), Commissioner Kevin McCarty, announced the signing of a memorandum of understanding (“MoU”) with the United Kingdom Financial Services Authority (“FSA”), the United Kingdom’s regulator responsible for regulatory oversight of the insurance, banking and securities markets.The MoU provides (i) a formal basis… [read post]
8 Jul 2024, 3:31 am
The firm represents clients throughout North Carolina and the United States. [read post]
22 Dec 2009, 5:30 am
National Australia Bank Ltd., was the Second Circuit’s first decision addressing whether a U.S. court has subject matter jurisdiction to hear an F-Cubed securities class action. [read post]
23 Feb 2015, 3:29 pm
The FDIC model of SPOE is derived from its well-known treatment of banks in the United States: arrive at the failing bank on a Friday, work on a makeover all weekend, and open a new bank in one form or another Monday morning. [read post]
18 Apr 2022, 8:49 am
Northstar Financial Services (Bermuda) offered investment and annuity-type products to investors outside the United States. [read post]
24 Jul 2008, 4:54 pm
New York State Attorney General Andrew Cuomo on Thursday sued UBS for securities fraud, marking the Swiss bank’s latest legal challenge from an American state related to the sale of so-called auction-rate securities. [read post]
30 May 2010, 10:16 am
§ 6801 (b) provides bank secrecy in the United States: (b) Financial institutions safeguards In furtherance of the policy in subsection (a) of this section, each agency or authority described in section 6805(a) of this title shall establish appropriate standards for the financial institutions subject to their jurisdiction relating to administrative, technical, and physical safeguards - (1) to insure the security and confidentiality of customer records and… [read post]
11 Sep 2017, 4:35 pm
In its complaint, the United States alleges that Mangione engaged in a fraudulent scheme to misrepresent the characteristics of loans backing two residential mortgage-backed securities (RMBS) that Deutsche Bank sold to investors that resulted in hundreds of millions of dollars in losses. [read post]
1 Apr 2013, 12:51 am
Nevertheless, IOSCO members (like the United States) regulate 95 percent of the world’s securities markets. [read post]
8 Mar 2013, 7:30 pm
For example, then–FDIC Chairman Sheila Bair said that if all derivatives market making activities were moved outside of bank holding companies, most of the activity would no doubt continue, but in less-regulated and more highly leveraged venues.The legislation is designed to ensure that derivatives trading units can be overseen by financial regulators and increase the capital available to finance job creation and economic activity.The securities industry supports the… [read post]
3 Jun 2013, 5:02 pm
Patrick Charles Thomas, 55, Cut Bank, Montana, appeared on charges of violation of the False Claims Act, conversion of secured property, and federal loan fraud/false writing. [read post]
