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13 Jul 2024, 7:02 am
Non-bank ATMs, particularly those at gas stations and convenience stores, are frequent targets. [read post]
7 Mar 2017, 5:22 am
Payment to the sales agent’s bank account in China? [read post]
3 Aug 2023, 10:00 am
” In short, the Safeguards Rule requires non-bank financial institutions to develop, implement, and maintain a comprehensive information security program to keep their customers’ information safe. [read post]
15 Oct 2018, 1:00 pm
Winger, however, endorsed the checks, deposited them into a separate bank account and used the funds for his own personal use.Patrick Jermaine Phillips (CRD #4315963, Blue Island, Illinois) Without admitting or denying the findings, Phillips consented to the sanctions and to the entry of findings that contrary to his member firm’s WSPs, he accepted two loans totaling $70,000 from a customer and has not repaid them. [read post]
4 Nov 2013, 5:18 am
According to FINRA, Hotton converted funds from his customers by using his control over the bank accounts of various corporate entities to divert funds that his customers believed were being invested in legitimate businesses. [read post]
31 Mar 2012, 8:17 pm
February 2012 Bank of America Securities LLC, was censured, fined $12,000 and ordered to pay $6,068.42, plus interest, in restitution to customers in relation to a finding that the firm, in certain transactions for or with a customer, failed to use reasonable diligence resulting in less than favorable transactions to such customers under prevailing market conditions. [read post]
4 Jul 2011, 7:57 pm
It cut the interest rates it paid on CDs and deposits, which angered customers. [read post]
23 Oct 2013, 8:03 am
Where an institutional customer has delegated decision making authority to an agent, such as an investment adviser or a bank trust department, these factors shall be applied to the agent. [read post]
1 Dec 2023, 6:00 am
” To that end, Chopra said the CFPB has done “pretty in-depth analysis” of banks’ use of customer service chatbots and wants to make sure banks take responsibility for any erroneous information provided by their chatbots to consumers. [read post]
3 May 2011, 11:12 pm
Originally posted in October 2010… Re-posted at request of readers. [read post]
1 Sep 2009, 7:51 am
Federal banking regulators will have authority over banks that act as swap dealers and the CFTC and the SEC will have jurisdiction over non-bank swap dealers. [read post]
31 Oct 2018, 12:53 pm
A California resident pleaded guilty to maintaining a secret bank account containing millions of dollars at Bank Leumi in Israel. [read post]
29 Feb 2008, 1:37 pm
" WikiLeaks, a whistle-blower site publishing thousands of leaked documents, was taken offline in the United States after posting allegedly stolen documents: individuals' banking records that suggest a Cayman Islands branch of a Swiss bank was helping customers practice money laundering and tax evasion across the globe. [read post]
24 Jun 2014, 8:42 am
For example, in 2012 it backed financing of satellites built by Boeing, Lockheed Martin, and Orbital Sciences to customers in Australia and Mexico. [read post]
7 Sep 2013, 10:27 pm
When you get a customer who is basically begging to send you money you have a responsibility and a duty to tell them how much to send. [read post]
11 Apr 2017, 7:18 am
Maybe you feel obligated to deliver a product to a customer or to collect a big receivable first. [read post]
11 Apr 2017, 7:18 am
Maybe you feel obligated to deliver a product to a customer or to collect a big receivable first. [read post]
19 Nov 2011, 5:19 pm
., also recommended that customers by floating-rate loan funds, even though these were not appropriate for the investors. [read post]
17 Aug 2010, 4:06 am
With the first payment by the customer, make a photocopy of the check. [read post]
7 Jan 2019, 9:02 am
Benjamin had hidden money by: failing to file tax returns; pocketing cash payments from customers; paying personal expenses from a business bank account; and cashing customers’ checks instead of depositing them into his bank account. [read post]
