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7 Jan 2021, 11:53 am
July 2020 – Customers file suit against former Kestra Advisor James B. [read post]
7 Apr 2014, 12:05 pm
WVUH, 660 F.3d 643 (2d Cir. 2011) (“a ‘customer’ is a non-broker and non-dealer who purchases commodities or services from a FINRA member in the course of the member’s FINRA-regulated business activities, i.e., the member’s investment banking and securities business activities”). [read post]
2 Aug 2021, 9:39 am
Four of the customers were reportedly over the age of 60 and seven of the customers invested retirement funds in the BDC, according to FINRA. [read post]
14 Mar 2019, 6:41 am
The Dodd-Frank Act, enacted in 2010, transferred rulemaking authority under the GLBA’s privacy provisions to the CFPB for most non-bank financial institutions. [read post]
21 Jul 2017, 10:15 am
With regard to the disclosure condition, the court determined that the provision of the disclosure by Borders to its customers at the closing of a real estate transaction was sufficient, because it was the first contact that Borders had with the customers, and that the customer then decided at the closing whether to accept the referral of title insurance to one of the joint ventures. [read post]
8 Jul 2020, 1:33 pm
For example, the first red flag – clearly envisioning a “witting” or “complicit” mule – provides: The customer’s personal bank account starts to receive transactions that do not fit his or her transactional history profile, including overseas transactions, the purchase of large sums of convertible virtual currency, or transactions in large fiat amounts, or the accounts generally had a low balance until the customer became involved… [read post]
1 Jul 2011, 12:28 pm
Similarly, under Regulation R, a bank or a broker-dealer satisfies its customer eligibility requirements if it has a reasonable basis to believe that the customer is an institutional customer or high net worth customer. [read post]
18 Feb 2022, 9:23 am
Banks that issue cards to consumers benefit from significant interchange fee income when their cards are used to make purchases, and so have been slow to make alternative payment methods available to their customers. . . . [read post]
15 Dec 2017, 1:02 pm
The findings stated that because Paolini told the customer he was unsure to whom the customer should make the check payable, the customer left the payee line blank. [read post]
20 Mar 2012, 1:15 pm
Banking Law § 340. [read post]
16 Jul 2010, 3:03 pm
Currently, broker-dealers do not owe fiduciary duties to customers, while investment advisers do owe fiduciary duties to their customers. [read post]
1 May 2020, 9:18 am
Bank, and Wells Fargo, have released statements on their websites announcing that they are offering assistance for their customers during the COVID-19 outbreak. [read post]
8 Aug 2022, 10:17 am
Beyond mobile banking apps, this approach combines additional services related to financial services and payments to add value and retain users. [read post]
23 Sep 2010, 9:21 am
The monies that came in from his scam were in Madoff’s Chase (and then JP Morgan Chase (JPMC)) bank account. [read post]
22 Nov 2009, 7:44 am
The monetary value of the loans approved by Whalen as an underwriter, for example, is irrelevant to this classification: a bank teller might deal with hundreds of thousands of dollars each month whereas a staffer in human resources never touches a dime of the bank’s money, yet the bank teller is in production and the human resources staffer performs an administrative position. [read post]
6 Apr 2022, 7:13 am
Additionally, prohibitions on the exportation or re-exportation, sale, or supply of U.S. dollar-denominated bank notes were issued. [read post]
26 Dec 2019, 5:00 am
If banks fail to comply, the act would enable government officials to levy contempt fines against the banks. [read post]
15 Aug 2017, 5:16 pm
Commonwealth Bank is a banking and financial services firm organized under the laws of Australia. [read post]
16 Aug 2024, 6:00 am
The agency’s position comes as financial institutions increasingly adopt AI and machine learning technologies for everything from customer service to fraud detection and credit underwriting. [read post]
14 Mar 2018, 2:00 am
VOI may include improved population health, productivity, employee morale, talent attraction and retention, enhanced company loyalty, and heightened customer loyalty. [read post]
