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19 May 2009, 9:39 am
Seven months after the Atlanta Journal and Constitution (AJC) reported that SunTrust Bank was negotiating with regulators to buy back $500 million in auction rate securities from SunTrust customers, the bank has decided not to pay back all of its customers. [read post]
1 Apr 2016, 9:36 am
For some reason, we like to think that bank employees are more honorable and law-abiding than their counterparts at brokerage firms. [read post]
22 Oct 2013, 5:20 pm
Jon Leibowitz, the chairman of the Federal Trade Commission, has gone on record as saying that, "An agreement to rent a computer doesn't give a company license to access consumers' private emails, bank account information, and medical records, or, even worse, webcam photos of people in the privacy of their own homes." [read post]
28 Sep 2009, 3:54 pm
Related Web Resources: FINRA Fines Citigroup Global Markets, UBS and Deutsche Bank $425,000, Orders Customer Restitution for Supervisory Failures in Vonage IPO, FINRA, September 22, 2009 Citi, UBS, Deutsche Fined Over Vonage IPO [read post]
29 May 2010, 8:30 am
Perhaps the most common abuse is the failure of the broker or financial adviser to make sure that the investment is suitable, both generally from the standpoint of the investing public and specifically in relation to the investment objectives of the individual customer. [read post]
30 Jul 2015, 1:15 pm
Mishkin The Texas Bankers Association (TBA) announced on its website that it has filed a Freedom of Information Act (FOIA) Request with the CFPB to obtain all documentation the CFPB requested from bank software processors on the overdraft activity of their bank customers. [read post]
21 May 2021, 3:23 am
Investors (SEC Release)Justice Department Requires Divestitures in Huntington Bancshares Incorporated’s Acquisition of TCF Financial Corporation / Thirteen Branches in Michigan will be Divested — Ensuring Bank Customers Have Access to Competitively Priced Products and Services (DOJ Release)Tampa Man Sentenced To Prison For Manufacturing Counterfeit Federal Reserve Notes While On Federal Supervised Release (DOJ Release)Farmington Woman Admits Stealing $103K from… [read post]
14 Apr 2021, 8:00 am
Wall Street Compliance Professionals Need FINRA Like A Heart Attack (BrokeAndBroker.com Blog)Former Chase Bank Teller Charged With Bank Fraud For Targeting Older Adult Victim (DOJ Release)Maple Heights man sentenced to 39 months for elder fraud scheme (DOJ Release)Judgment Entered in SEC Insider Trading Case Involving Clinical Trial (SEC Release)SEC Obtains Final Judgement Against Connecticut Investment Adviser Who Misappropriated Funds from Clients (SEC Release)FINRA Fines… [read post]
7 May 2014, 12:51 pm
" The position is not part of the FDIC's external Ombuds program that serves local customers of banks taken over by the agency.Applicants must have a PhD or doctorate degree, or equivalent experience. [read post]
27 Jun 2017, 3:51 am
Morgan financial advisor who alleged that he was coerced by the bank to sell company-owned financial instruments. [read post]
30 Jan 2020, 12:46 am
Monson, Respondent (FINRA AWC)Lynn Man Sentenced For Role in $1.4 Million Bank Fraud and Money Laundering Scheme (DOJ Release)Providence Man Pleads Guilty in Bogus Check, Bank Fraud Scheme (DOJ Release)SEC Wins Jury Trial Against Massachusetts Man Charged in Multi-Year Insider Trading Scheme (SEC Release)FINRA Imposes Fine and Suspension for Rep's Excessive and Unsuitable Microcap Trading In Account of Customer With Cancer. [read post]
7 Jun 2013, 4:28 am
PNC Bank, N.A. [read post]
5 Sep 2017, 7:25 am
” The SEC’s complaint alleges that Vaccarelli deposited customer funds into his personal and business bank accounts instead of investing the customers’ money in such things as conventional brokerage accounts and separately managed accounts, as promised. [read post]
18 Dec 2020, 7:48 am
He is part of the RBC team known as Chu, Phillips, and Associates, which offers products and services through City National Bank in Stamford, Connecticut. [read post]
19 Dec 2023, 8:35 am
This follows JROC’s publication in April 2023 of its detailed report, ‘Recommendations for the next phase of open banking in the UK’, in which it identified a roadmap of 29 actions that will progress open banking in a three-phased delivery approach over the next two and a half years. [read post]
27 Aug 2024, 10:33 am
Plaid’s messaging also encouraged PNC customers to change banks. [read post]
12 Sep 2017, 5:06 am
Firms including CMS, Addleshaws, OC and Hogan Lovells appointed in last review in 2014 [read post]
10 Jul 2024, 7:54 am
The move to phase out OTP authentication is part of efforts by Singapore financial institutions to safeguard against phishing. [read post]
11 Apr 2011, 10:03 am
For the most part, retail customers have no effective alternatives to their banks for vital financial services; hence the imperative to avert disruption to the system for their continuous provision. [read post]
5 Jul 2013, 9:50 am
In addition, Stephen Henry manipulated the bank’s books and records to allow bank money to be used to pay on delinquent loans without being credited to a customer’s account. [read post]
