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26 Jul 2013, 12:04 pm
The insurers denied the Bank’s claim on the ground that New York public policy prohibits insurance coverage for disgorgement payments. [read post]
10 Nov 2022, 11:00 am
Sam Bank-Fried, who is the majority owner of both FTX and Hong Kong-based Alameda Research, said it was a “mistake” to use FTX customer assets to fund high risk trading at Alameda. [read post]
6 Feb 2007, 1:57 pm
Under the system, a customer should not enter his online passwords if his chosen image is not displayed on his login page. [read post]
30 Jun 2009, 8:51 am
The California Supreme Court has refused to extend an earlier holding prohibiting a bank from setting off customer debts using funds in a deposit account from public benefits. [read post]
18 Nov 2007, 12:54 pm
Horner, writing on assignment for the Court of Appeal gave more weight to Ramanathan's declaration that he had no employees working under his supervision, had no control over anyone else's employment, was primarily involved in the design and development of software applications, and had nothing to do with banking operations or customer service. [read post]
1 May 2015, 5:29 am
For example, the advisor may keep a bank account in its name and deposit customer funds into it, through various means, including having the check made out to the advisor “for the benefit of ” or “FBO” the investor. [read post]
4 Aug 2010, 3:13 pm
Question: Is a Schumer box disclosure describing an APR as "fixed," linked with an asterisk to a paragraph printed just below the Schumer box stating the APR could be increased under three conditions, and also coupled with language, further down the same page, providing the customer would be bound by the terms of the bank's customer agreement (which permitted the bank to change rates at any time) "clear and conspicuous" under the Truth in… [read post]
25 Nov 2024, 6:20 am
HSBC Bank USA, N.A., a case that highlights the importance of holding financial institutions accountable to their customers. [read post]
16 Nov 2009, 1:09 pm
For many banks, it is likely that full compliance will involve significant operational and processing changes, as well as the implementation of new procedures and new customer disclosures. [read post]
6 Feb 2019, 7:43 am
According to reports, evidence showed Western Bank agreed to advance money based on fake customer invoices, which allowed the man to divert tens of millions of dollars. [read post]
8 Dec 2022, 8:06 am
One defence was that the bank knew the cargoes it financed were being delivered to its customer’s buyers without bills of lading, and had implicitly approved that arrangement. [read post]
15 Apr 2019, 7:09 am
Great Lakes Bank, N.A., stating that, in Illinois, the UCC governs the relationship between a bank and its customer. [read post]
19 Jul 2024, 6:06 am
Sagepoint amended Sosa’s Form U5 (termination form) after it was discovered that he had opened a new bank account on behalf of an elderly customer. [read post]
25 Oct 2022, 11:08 am
Dealers, not banks, determine how much markup to charge customers. [read post]
12 Feb 2013, 1:09 pm
Italy joined the U.S. with a groups of other countries in a Joint Statement announcing that Italy will enter into and use the reciprocal agreement with the United States to implement FATCA and enact a system of reciprocal automatic exchange of information pursuant to which: - Italian banks and financial institutions will provide the US tax administration with information about Italian banking and financial accounts held by U.S. customers with Italian banks in… [read post]
17 Oct 2015, 9:30 am
Mark Leyse filed a putative class action against Bank of America after a telemarketer seeking to advertise BoA’s credit cards left a message on the landline shared by Leyse and his roommate. [read post]
1 Aug 2014, 11:00 am
(In the Ninth Circuit case, the court concluded that a municipal issuer purchasing advisory services for an auction-rate security issuance from an investment bank was a “customer. [read post]
14 Oct 2008, 11:19 am
The FSA has fined British bank Alliance & Leicester plc (A&L) a record £7 million over regulatory failings relating to telephone sales of payment protection insurance (PPI) to customers seeking personal loans.The FSA found that A&L advisers failed to give customers full details of the cost of PPI in respect of policies sold between January 2005 and December 2007, did not take customers' needs into proper consideration when… [read post]
26 Aug 2022, 1:12 pm
Stoltmann Law Offices is investigating brokers who have failed to protect customers’ personal information from identity theft. [read post]
23 Feb 2022, 8:04 am
This is Know Your Customer on steroids, and it applies not only to banks but to payment service providers and fundraising platforms, which will now have to file suspicious transaction reports. [read post]
