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27 Mar 2023, 8:09 pm
FINRA further imposed a fine of $5,000 on the firm’s director of investment banking, and reportedly suspended him for two months for his failure to properly supervise the sale of complex securities. [read post]
29 May 2023, 10:30 pm
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]
4 Jun 2013, 7:48 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined two firms a total of $2.15 million and ordered the firms to pay more than $3 million in restitution to customers for losses incurred from unsuitable sales of floating-rate bank loan funds. [read post]
20 Aug 2019, 7:55 am
Our customers find that opening a bank account after forming a company with us is normally remarkably easy. [read post]
3 Dec 2012, 6:31 am
The district court granted summary judgment in favor of the bank, holding that state law creates a safe harbor that relieves banks of liability for fraudulent payment orders if the bank and the customer agree to a commercially reasonable security procedure and the bank follows that procedure in good faith. [read post]
15 Mar 2011, 9:24 pm
The first isn't possible currently, and it's hard to imagine a merchant that wants to bother with the second and tick off customers. [read post]
12 Mar 2024, 9:05 pm
”Coherently delineating what constitutes a financial agency’s core expertise when its supervised entities touch almost every corner of the economy poses similar challenges because banks, and by extension their supervisors, have to understand all of their customers’ businesses. [read post]
26 Oct 2011, 7:21 am
-resident customers and clients who were primarily Portuguese immigrants. [read post]
15 Oct 2007, 1:43 pm
The bank was also mandated to develop written policies regarding its Customer Identification Program and policies to report suspicious activities. [read post]
8 Mar 2012, 5:00 am
The plaintiffs attempted to strengthen the inference of actual knowledge by showing that a BOA representative advised another bank customer that Diamond’s clients were “happy with their investment,” and consequently, that customer transferred money to Diamond Ventures. [read post]
22 Sep 2015, 2:07 pm
Some wire transfers may move funds from a customer account in one country to a customer account in another country. [read post]
9 Jun 2014, 10:50 am
The boys then reported their lunch-hour caper to bank employees, who at first thought the duo had merely acquired the PINs of an ATM customer. [read post]
1 Sep 2011, 11:10 am
These lawsuits must be defended in order to ensure banks can survive and continue serving customers. [read post]
25 Sep 2007, 8:35 am
Many people received letters this summer explaining that their bank had given details of customers with offshore accounts to HMRC and this... [read post]
5 Feb 2008, 8:19 pm
A Statement by Reserve Bank Governor Glenn Stevens on monetary policy was released on 5 February. [read post]
28 Jul 2008, 6:10 am
[JURIST] The Basmany Court in Moscow resumed proceedings Monday in a lawsuit filed by the Russian Federal Customs Service [official website] against the Bank of New York Mellon (BNYMellon) [corporate case backgrounder] under the US Racketeer Influenced and Corrupt Organizations (RICO) [text] statute. [read post]
7 Oct 2010, 10:00 am
Bondi (SEC) has published Don’t Tread on Me: Has the United States Government’s Quest for Customer Records from UBS Sounded the Death Knell for Swiss Bank Secrecy Laws? [read post]
2 Apr 2010, 10:00 am
Bondi (SEC) has posted Don’t Tread on Me: Has the United States Government’s Quest for Customer Records from UBS Sounded the Death Knell for Swiss Bank Secrecy Laws? [read post]
22 Nov 2022, 11:01 am
The report distinguishes “incumbent non-banks” from “non-incumbent non-banks. [read post]
22 Jan 2018, 8:04 am
Insufficient monitoring and limited internal testing have failed to detect product and service delivery disruptions, resulting in slowed responses by banks and prolonged impact to customers. [read post]
