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15 Aug 2023, 1:32 am
Simanski allegedly stole $3.9 million from approximately 27 of his brokerage customers and investment advisory clients, many of them retired or elderly. [read post]
14 Aug 2023, 7:27 pm
They combine publicly available data sources such as ACLED, the World Bank and V-Dem with a custom analysis provided by Verisk Maplecroft. [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]
13 Aug 2023, 6:51 am
Why Kindness at Work Pays Off Customers First or Employees First? [read post]
11 Aug 2023, 4:00 am
Prosecutors accused Bankman-Fried of seeking influence in Washington and in state capitals by improperly using customer and investor money to make political donations. [read post]
10 Aug 2023, 10:36 pm
If the card issuer thinks it can put the loss on the merchant's bank (determined by card network—Visa or MC—rules), it will, and it will have a happy customer. [read post]
10 Aug 2023, 9:31 am
Regulation Best Interest (Reg Bi) The Regulation Best Interest Act was created to establish a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities, including recommendations of types of accounts. [read post]
10 Aug 2023, 8:16 am
Breakdown of customer groups. [read post]
10 Aug 2023, 6:26 am
Most businesses will need to enter into contracts with other entities, such as suppliers or customers. [read post]
10 Aug 2023, 5:14 am
This speeds up the procedure and cuts down on delays, which benefits everyone from customers to companies to lawyers. [read post]
10 Aug 2023, 2:30 am
It helped me to really understand what it was like for our colleagues who were customer-facing and how often they were islands unto themselves. [read post]
9 Aug 2023, 9:01 pm
This would go beyond mere calculation of capital and include also include creating new securitization structures, issuing new types of capital instruments, and identifying alternative funding sources.6 The Capital Proposal’s increases in capital requirements would also increase the costs of bank lending and trading activities, driving some of these activities to nonbank financial institutions, or increasing the costs for customers and counterparties in the Main Street… [read post]
9 Aug 2023, 6:05 am
(BNPP), a French multinational bank, pursuant to a plea agreement with the Department of Justice. [read post]
8 Aug 2023, 1:00 pm
[1] Mary Meisenzahl, Starbucks Customers Have More Than $1 Billion Sitting on Gift Cards, Bus. [read post]
8 Aug 2023, 11:25 am
According to the Letter of Acceptance Nia is connected to hundreds of unauthorized transactions in the account of a community bank, which was her PKS customer, without obtaining instructions from any person authorized to conduct trading for the bank. [read post]
8 Aug 2023, 10:09 am
During his career his clients have included many of the Fortune 1000 in industries such as: Financial services—consumer & mortgage banking, wealth asset management; Healthcare—payors; and Retail—eCommerce. [read post]
8 Aug 2023, 5:21 am
For example, some financial institutions did not provide the required pre-contractual information to consumers, and automatically increased the total amount of credit to include bank fees without collecting the customer’s explicit consent. [read post]
8 Aug 2023, 4:00 am
PRACTICAL GUIDANCE CUSTOMER EMAIL EDITION ON THE WEB Experience results today with practical guidance, legal research, and data-driven insights—all in one place. [read post]
8 Aug 2023, 4:00 am
Bank Failure Resource Kit assembles Practical Guidance resources covering topics related to the recent bank failures. [read post]
8 Aug 2023, 4:00 am
Bank Failure Resource Kit assembles Practical Guidance resources covering topics related to the recent bank failures The Practical Guidance Journal Second Edition 2023 includes legal developments on generative AI, bank failure impacts, and the risks created by crypto-assets. [read post]
