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25 Sep 2023, 12:27 pm
(DIMA), a subsidiary of Deutsche Bank AG, in two distinct enforcement actions. [read post]
24 Sep 2023, 7:57 pm
They allow computers inside police departments, intelligence agencies, hospitals, banks, insurance companies, political parties and marketing firms to understand personal behavior and, increasingly, as artificial intelligence and machine learning expand into every corner of society, to predict and exploit it…” [read post]
18 Sep 2023, 9:05 pm
We’re really banking on alternative sources — anything that helps improve environmental quality and food and that offers health benefits. [read post]
12 Sep 2023, 7:20 am
The former chief financial officer also pleaded guilty to making a false statement to a bank. [read post]
7 Sep 2023, 1:03 am
With offices in Seattle and Chicago, our primary focus is assisting investors from [read post]
29 Aug 2023, 12:32 pm
The customer’s entity defaulted on the loan, resulting in a loss to the bank of more than $3.2 million. [read post]
27 Aug 2023, 7:49 pm
August 2019 – Most notably, former Western International advisor Dawn Bennett, was sentenced to 20 years in prison after she was convicted on 17 counts of securities fraud, wire fraud and bank fraud after a two-week trial in Maryland in August 2019. [read post]
24 Aug 2023, 8:57 am
KBS Realty Advisors paid these invoices, to the tune of approximately $2,729,718, money that was funneled into Aggarwal’s bank account. [read post]
23 Aug 2023, 6:03 am
A Brokered CD is a type of CD that’s not directly sold by a bank or credit union. [read post]
21 Aug 2023, 9:42 am
The FIRREA claims were based on alleged violations of the mail, wire, and bank fraud statutes. [read post]
17 Aug 2023, 10:49 am
According to FINRA, rather than transmitting the funds to a pediatric cancer charity, as intended by the donors, Whited allegedly caused the donated funds to be deposited into his personal bank account to pay for his own personal expenses. [read post]
15 Aug 2023, 1:32 am
” The advisor allegedly told the investors to write checks payable to personal bank and brokerage accounts he opened in his wife’s name. [read post]
14 Aug 2023, 2:11 am
FINRA also reportedly alleged that a Massachusetts broker stole more than $2.3 million from two customers between June 2013 and June 2017 by purportedly forging 65 third-party wire transfer requests from their accounts to the bank account that the broker allegedly controlled. [read post]
11 Aug 2023, 4:00 am
Once Rare, Impeachments and Censures Have Become the Norm in Congress Seattle Times – Carl Hulse (New York Times) | Published: 8/8/2023 Proposals to censure lawmakers and impeach members of the Biden administration are piling up quickly in the U.S. [read post]
10 Aug 2023, 9:31 am
Between November 2015 and August 2017, HSBC allegedly misled its current and prospective advisory clients and didn’t disclose conflicts of interest related to how it compensated its dually registered investment advisor representatives in the firm’s retail banking and wealth management unit, according to the SEC.According to the SEC, HSBC also allegedly failed to implement written policies and procedures designed to prevent violations of the Investment Advisers Act of… [read post]
7 Aug 2023, 3:58 am
About a decade ago, I gave a speech on software outsourcing at a major software event. [read post]
4 Aug 2023, 4:00 am
Seattle Times – Rebecca Davis O’Brien, and Alexandra Berzon (New York Times) | Published: 7/28/2023 U.S. [read post]
3 Aug 2023, 11:22 am
With offices in Seattle, Washington and Chicago, Illinois, the firm reviews securities fraud cases throughout the country. [read post]
31 Jul 2023, 12:40 pm
Saw allegedly sold the customers’ holdings in order to transfer the money to her own bank accounts. [read post]
28 Jul 2023, 4:00 am
Against the backdrop of the collapse of Silicon Valley Bank and the narrowly avoided debt ceiling crisis, the Biden administration has pushed for new regulations. [read post]
