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17 Dec 2017, 9:07 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jerry Guttman (Guttman), operating under the d/b/a Guttman Financial Group, in November 2017, was barred from the financial industry by FINRA concerning allegations that he sold more than $7,000,000 worth of membership interests in at least six different limited liability companies to 38 customers without proper disclosure. [read post]
15 Dec 2017, 2:09 pm
(Pix © Larry Catá Backer 2017)Western commentators and academics have begun to focus on Chinese Social Credit. [read post]
15 Dec 2017, 1:02 pm
The findings stated that because Paolini told the customer he was unsure to whom the customer should make the check payable, the customer left the payee line blank. [read post]
15 Dec 2017, 12:29 pm
As support for the motion, Elite attached a copy of its lease agreement with First Bank, which clearly stated that First Bank was responsible for maintaining common areas, including the parking lot. [read post]
15 Dec 2017, 9:01 am
Under the Custody Rule, if a registered investment adviser has custody of “client funds or securities”, then it must maintain those client assets with a qualified custodian (generally a bank, broker-dealer, FCM or other financial institution), subject to certain exceptions. [read post]
15 Dec 2017, 9:01 am
Under the Custody Rule, if a registered investment adviser has custody of “client funds or securities”, then it must maintain those client assets with a qualified custodian (generally a bank, broker-dealer, FCM or other financial institution), subject to certain exceptions. [read post]
14 Dec 2017, 10:15 am
In PS17/3 the PSR sets out its decision to make use of its powers under section 54 (Directions) of the Financial Services (Banking Reform) Act 2013 to require the operator of the Bacs payment system Direct Debit (DD) scheme to develop a PSR-approved plan in relation to changes to the scheme rules relating to customers seeking to change their DD facilities management service provider and to direct it in relation to that change. [read post]
14 Dec 2017, 6:58 am
Coinbase has approximately 5.9 million customers and has provided $6 billion in Bitcoin exchanges. [read post]
13 Dec 2017, 7:18 pm
When a client comes to me with a problem with a customer, I often start by asking “What does your contract say? [read post]
13 Dec 2017, 4:04 pm
In the former, the Court held that bank records only contained “information voluntarily conveyed to the banks and exposed to their employees in the ordinary course of business”. [read post]
13 Dec 2017, 3:27 am
View FCA makes it easier for people to compare bank accounts, 12 December 2017 [read post]
12 Dec 2017, 9:02 pm
This article is part of a series, covering the growth, opportunities and risks of commercial real estate investment banking. [read post]
12 Dec 2017, 4:36 pm
John Reed Stark One of the most interesting and arresting business stories of 2017 has been the astonishing proliferation of initial coin offerings (ICOs), as I discussed in a prior post (here). [read post]
12 Dec 2017, 9:57 am
Neither defendant is a national bank. [read post]
12 Dec 2017, 9:57 am
Neither defendant is a national bank. [read post]
11 Dec 2017, 12:40 pm
Members of the MoneyTaker group, named after a piece of custom malware it uses, started its heist spree no later than May 2016. [read post]
10 Dec 2017, 1:39 pm
The arbitration process is kept private, which means the results, and even a customer filing for relief for a complaint, are never made public. [read post]
7 Dec 2017, 2:13 pm
Poor R&D policies may not capture patent rights on a company invention, or a faulty or simply outdated employment agreement may not protect a customer list used by an employee who leaves for a competitor. [read post]
7 Dec 2017, 2:00 pm
[v] [i] Eryk Bagshaw, “Don’t pin banks for all “serious crimes” , bankers say”. [read post]
7 Dec 2017, 11:54 am
Despite claiming it’s ready to make amends to its customers after multiple scandals involving things like opening bank accounts and lines of credit for its customers without their notice or consent, overdraft fees, and fraudulent car loans, Wells Fargo’s CEO, Timothy Sloan, recently testified before the Senate Banking Committee to defend the bank’s use of arbitration agreements. [read post]
