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26 Jun 2012, 6:47 am
In Discover’s case, competitor Chase Bank challenged Discover’s credit card commercials on the ground that Discover had “obscured critical terms” of its cash-back programs in advertisements claiming “right now, all over the country, Discover card customers are getting 5% Cashback bonus [in selected purchase categories],” and also stating that Discover customers could earn “up to 1% cash back” on ordinary everyday… [read post]
6 Sep 2022, 9:09 am
The requirement for 85% of a firm’s obligors to be based in the UK in order for a firm to qualify for the Simpler-firm regime may lead to existing customers who live abroad being de-banked by their lender, or prospective customers living abroad having fewer lenders from which to secure a mortgage or a loan. [read post]
10 Oct 2022, 6:40 am
ESG Daily is available at no additional cost to VitalLaw customers. [read post]
1 Jul 2015, 1:50 pm
Segal allegedly sold what he called certificates of deposit (CDs) to his brokerage customers under the false pretense that he could get them a higher rate of interest than was then available through banks. [read post]
16 Sep 2009, 2:55 am
Business plans, usually done at the urging of a bank or private equity partners, often provide a fertile ground for revealing who an ex-employee intends to targetcertainly forseeable.But the second document that hurt Jose and Porter at the preliminary injunction hearing was more curious. [read post]
8 Dec 2015, 6:00 am
Enterprise goodwill is the capacity of a business to attract new customers or keep old ones due to great locations, reputation for superior service or skill, or anything else that influences customers to continue a professional relationship. [read post]
8 Mar 2022, 6:56 am
A Look at What Happened In 2019, two Wells Fargo customers filed a lawsuit in Georgia state court against the bank after losing their arbitration claim and on January 25, 2022, Fulton County Superior Court Judge Belinda Edwards vacated the arbitration panel’s award, citing misconduct by Wells Fargo, FINRA and the arbitrators by “procuring perjured testimony, intentionally misrepresenting the record and refusing to turn over a key document. [read post]
22 Nov 2011, 2:00 am
Bank of America, 30 Cal. [read post]
2 Nov 2009, 6:14 pm
Royal Bank of Canada subsidiary RBC Wealth Management acquired Ferris for $230 million in 2008. [read post]
1 May 2020, 3:30 pm
Fornaro Law practices in the areas of business and corporate law, estate planning, commercial and residential real estate, commercial work outs, banking law and litigation. [read post]
7 Oct 2016, 1:18 pm
In October 2015, while registered with FINRA-regulated Firm Wells Fargo, Kincade allegedly caused two domestic wire disbursements totaling $349,947.53 to be effected from the account of a customer to bank accounts held by third parties. [read post]
1 Oct 2018, 12:13 pm
As we told you in July 2017, Dutton was fined $200,000 for allegations of “dishonest or unethical practices in the securities business,” by the Pennsylvania Department of Banking and Securities. [read post]
24 Jun 2019, 6:06 am
Portfolio Director for Securities and Banking at Wolters Kluwer Legal & Regulatory U.S. [read post]
26 Oct 2011, 7:38 am
The remainder was transferred back to customers or paid to the defendants in commission. [read post]
24 May 2010, 6:15 am
Establishing a bank account5. [read post]
11 Feb 2014, 11:19 am
Many of the customers have been subject to foreclosure and have now lost their homes. [read post]
8 Feb 2012, 3:31 pm
FATCA will effectively compel foreign financial institutions, broadly defined to include banks, hedge funds, investment companies and securities and commodities firms, to enter into an agreement with the IRS requiring them to report annually certain customer information and to withhold and pay to the IRS a 30% withholding tax on customers of those institutions who are US companies or US citizens that have not supplied certain information to the foreign financial… [read post]
15 Jan 2013, 7:41 am
The check was dishonored, but the insurance company held the check and did not notify the insureds that the bank had not honored the check. [read post]
29 Jan 2015, 5:48 pm
Floating-Rate Bank Loan Funds – FINRA warns of potential liquidity challenges for investors in these loans. [read post]
12 Sep 2011, 11:02 am
This money was placed into bank accounts to be managed by CTA D2W. [read post]
