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2 Dec 2022, 12:18 pm
In total, the broker-dealers, which include Deutsche Bank, Barclays and Cantor Fitzgerald, agreed to pay over $1.1 billion in penalties. [read post]
28 Nov 2022, 9:02 am
Bank of America Securities, Inc. [read post]
21 Nov 2022, 9:02 am
Bank of America Securities, Inc. [read post]
30 Oct 2022, 11:31 am
Nine banks paid out $125 million each to settle the claims. [read post]
26 Oct 2022, 6:26 am
A group of banks led by Morgan Stanley, which includes Bank of America and Barclays, committed $13 billion in financing for the deal back in April. [read post]
5 Oct 2022, 8:00 am
In addition to Bank of America, Goldman Sachs, and Deutsche Bank, the charged institutions were Barclays, Cantor Fitzgerald, Citi, Credit Suisse, Jefferies, Morgan Stanley, Nomura, and UBS. [read post]
30 Sep 2022, 3:34 am
Barclays announced the over-issue back in March. [read post]
29 Sep 2022, 2:03 pm
The Securities and Exchange Commission charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of a large amount of securities due to a failure to implement any internal control to track such transactions in real time. [read post]
29 Sep 2022, 1:10 pm
The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such…Read the Full Press ReleaseHave a securities law question? [read post]
28 Sep 2022, 12:37 pm
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
25 Sep 2022, 9:09 pm
For example, from 2006 to 2015 the SEC granted 23 such waivers to Citigroup, Barclays, UBS, JP Morgan, and Royal Bank of Scotland alone. [read post]
1 Aug 2022, 3:53 am
In Philipp v Barclays Bank [2022] EWCA Civ 318, the Court of Appeal confirmed that the Quincecare duty does extend to cover account holders who are individuals as well as corporates. [read post]
28 Jul 2022, 8:55 pm
It criticised the decision of the England and Wales Court of Appeal in Barclays Bank Plc v Various Claimants [2018] EWCA Civ 1670, a decision that was later reversed by the UK Supreme Court: [2020] UKSC 13. [read post]
23 Jul 2022, 12:45 am
Nor had Equifax voluntarily assumed responsibility towards every member of the public simply by choosing to operate as a credit reference agency: such an approach would “assign to the concept of voluntary assumption of responsibility so wide a meaning as to deprive it of effective utility” ([74] citing Barclays Bank ibid 217, [74] (Lord Mance)). [read post]
6 Jul 2022, 2:16 pm
District Judge Jesse Furman in Manhattan dismissed San Diego’s breach of fiduciary claims against affiliates of Barclays Plc, Citigroup Inc, Goldman Sachs Group Inc and JPMorgan Chase & Co, citing the city’s lack of an “agency” relationship with the banks. [read post]
6 Jul 2022, 8:44 am
District Judge Jesse Furman in Manhattan dismissed San Diego’s breach of fiduciary claims against affiliates of Barclays Plc, Citigroup Inc, Goldman Sachs Group Inc and JPMorgan Chase & Co, citing the city’s lack of an “agency” relationship with the banks. [read post]
5 Jul 2022, 1:09 pm
Panelists include: Jessica Bartlett, global head of financial crime legal at Barclays; Tara Joseph, senior director at Strategy Risks; and Charles Monk, former member of the Legislative Council in the Hong Kong Special Administrative Region. [read post]
13 Jun 2022, 10:15 pm
Both U.K. banks’ climate plans won upwards of 80% support at their 2022 annual meetings. [read post]
11 Jun 2022, 9:56 pm
Barclay Surrick on Thursday that “the total value of the Settlement is outstanding when considering the common fund and the intangible benefit of BANA’s [Bank of America, NA] five-year cessation of the practice of charging the Class Fees. [read post]
11 Jun 2022, 12:47 pm
Some background Until 2008, Lehman Brothers1 was one of the largest investment banks in the United States, with hundreds of billions of dollars in assets under management and more than 25,000 employees in offices worldwide. [read post]
