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14 May 2018, 12:04 pm
In PNC Bank v. [read post]
6 Oct 2012, 6:00 pm
(WFC) and its unit Wachovia Corp. over an alleged $1.5 billion securities fraud scam. [read post]
28 Jun 2018, 8:40 am
The Tenth Amendment states that “The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people. [read post]
3 Nov 2021, 11:14 am
FOOTNOTES [1] Security-based swaps subject to SEC regulation include certain credit and equity swaps based on a single security or loan, a “narrow-based security index” or the occurrence of certain events relating to a single issuer or issuers of securities in a narrow-based security index (i.e., CDS). [2] The banking regulators’ margin rules will continue to apply to SBS with prudentially regulated SBSDs. [3] The ISDA… [read post]
20 Dec 2011, 1:47 pm
A subsidiary of Wells Fargo Bank, Wells Fargo Investments LLC changed its name to Wells Fargo Advisors LLC in March 2010 when it merged with Wachovia Securities LLC at the same time its parent bank merged with Wachovia Bank. [read post]
3 Dec 2014, 5:37 am
Sources: SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. [read post]
27 Apr 2021, 3:22 pm
Securities and Exchange Commission (SEC) offers confidentiality protections to whistleblowers who disclose misconduct to the agency. [read post]
28 Dec 2009, 9:00 pm
The gravamen of said lawsuits, was that Associated Bank had supposedly been negligent in allowing suspected securities fraudsters to open and maintain a nominee bank account in the name of Crown Forex LLC. [read post]
16 Aug 2012, 1:27 am
National Australia Bank case, one of the last securities suits filed as part of the ed credit crisis-related litigation wave has been dismissed. [read post]
3 Sep 2008, 9:11 pm
The case is pending in the United States District Court in Manhattan. [read post]
4 Feb 2019, 6:28 am
UNITED STATES OF AMERICA On 25 January 2019, an agreement was reached to end the 35 day shutdown of the US government – the longest shutdown in history. [read post]
1 Sep 2010, 2:18 am
Or to put it a different way, one out of every ten banks in the United States is a problem institution. [read post]
25 Oct 2012, 10:09 am
The GSEs guarantee payments of principal and interest to investors in the event that any loan in a mortgage-backed security defaults. [read post]
16 Feb 2023, 6:05 am
(Editor’s Note: This is Part IV of a Just Security Symposium on United States support for the International Criminal Court’s Trust Fund for Victims. [read post]
24 Aug 2024, 8:20 am
In its quarterly securities filing, Bank of America also said it faced SEC reviiew over rates paid to customers on uninvested cash that is swept into interest-paying bank deposits. [read post]
23 May 2011, 5:05 am
According to the Court, providing advice that the banks chose to follow did not suggest control. [read post]
17 Feb 2015, 10:47 am
In United States v. [read post]
19 May 2015, 5:09 am
Hawke, Chief of the Division of Enforcement’s Market Abuse Unit. [read post]
25 Jan 2010, 5:34 pm
And it also has a suitor for the company, Spyker, which is owned by a shadowy Russian bank. [read post]
12 Dec 2013, 12:05 pm
Her scholarship has focused on the legal framework applicable to the law-making activities of IOs including the United Nations, the International Monetary Fund (IMF) and the World Bank in transitional situations such as Kosovo and Iraq. [read post]
