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21 May 2014, 5:20 am
In return the United States banking authorities have waived, or declined to use, their power to suspend Credit Suisse from conducting investment and banking business within the United States. [read post]
17 Aug 2021, 8:45 pm
On 16 August 2021, the European Central Bank (ECB) and the United States’ Securities and Exchange Commission (SEC) signed a memorandum of understanding to prepare for the registration of ECB-supervised entities as security-based swap dealers or major security-based swap participants in the United States. [read post]
17 Oct 2006, 6:23 am
The securities broker-dealer unit of Citizens Financial Group in Rhode Island was fined $850,000 by the NASD for what the NASD labeled were some of the broadest violations it has found since new rules allowed banks into the area seven years ago, including failure to properly supervise areas like telemarketing, college-savings-plan sales, and the sale of complex vehicles to older investors. [read post]
13 Feb 2007, 9:59 am
It is no coincidence that Los Angeles County has the largest concentration of illegal immigrants in the United States. [read post]
1 Feb 2023, 5:11 am
State Department to provide security services for its personnel in Kabul, Afghanistan. [read post]
7 Aug 2018, 6:39 am
Continue reading The post Bank Of America Sued Over Ponzi Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
5 Mar 2012, 7:02 am
Have you suffered losses in an alternative investment, hedge fund, or fund of funds sold to you by Credit Suisse Securities or Credit Suisse Securities’ Private Banking USA Unit? [read post]
5 Mar 2012, 7:02 am
Have you suffered losses in an alternative investment, hedge fund, or fund of funds sold to you by Credit Suisse Securities or Credit Suisse Securities’ Private Banking USA Unit? [read post]
3 Sep 2011, 12:52 am
The United States government recently filed suit against 17 financial companies, including, but not limited to, the largest domestic banks, for selling Fannie Mae and Freddie Mac mortgage-backed securities worth billions of dollars that turned bad when the housing market collapsed. [read post]
3 Sep 2011, 12:52 am
The United States government recently filed suit against 17 financial companies, including, but not limited to, the largest domestic banks, for selling Fannie Mae and Freddie Mac mortgage-backed securities worth billions of dollars that turned bad when the housing market collapsed. [read post]
14 Apr 2014, 9:22 am
United States. [read post]
14 Apr 2014, 9:22 am
United States. [read post]
13 Sep 2008, 12:15 pm
As we have said on this Blog multiple times (and written since the 1990s, see The "Great Fall": The Consequences of Repealing the Glass-Steagall Act), the elimination of Glass Steagall and the wall that separated commercial from investment banking had all but spelled the elimination of independent investment banks in the United States. [read post]
30 Mar 2015, 8:02 am
Ebrahim Shabudin, 66, Moraga, California, was convicted by a jury on seven felony counts of conspiracy, securities fraud, and other corporate fraud offenses stemming from the failure of United Commercial Bank. [read post]
24 Sep 2009, 5:00 am
Bank Ltd., No. 07-0583-cv, 2008 U.S. [read post]
29 Jun 2020, 7:11 am
There are more than 5,000 commercial banks in the United States. [read post]
15 Sep 2008, 1:15 pm
Back in the 1930s, commercial banks in the US were asserting domination over the investment banking side of securities activities. [read post]
28 Aug 2016, 9:05 pm
” [Ray Lehmann, R Street Institute] Tags: banks, climate change, colleges and universities, Hillary Clinton, Operation Choke Point, securities litigation, United Kingdom, Wall Street Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
23 Jul 2009, 3:53 pm
FINRA announced today that it fined five bank broker-dealers a total of $1.65 million for deficient supervision and procedures related to variable annuity (VA), mutual fund or unit investment trust (UIT) transactions. [read post]
14 Oct 2014, 8:58 pm
Securities and Exchange Commission Chair Mary Jo White, U.S. [read post]
