Search for: "Customer's Bank"
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14 Sep 2022, 2:21 pm
”A mass email sent by the CFPB to the customers of a bank that is the subject of a CFPB enforcement action about accounts alleged to be opened without customers’ consent. [read post]
14 Sep 2022, 1:13 pm
One day, Fred headed in to town to do some grocery shopping and some banking. [read post]
12 Sep 2022, 12:23 pm
Among other things, a firm’s WSPs must address supervision of supervisory personnel and provide for the review of a firm’s investment banking and securities business, correspondence and internal communications, and customer complaints. [read post]
12 Sep 2022, 11:14 am
Banks must dedicate resources to continue to stay a step ahead. [read post]
12 Sep 2022, 7:23 am
Among other things, a firm’s WSPs must address supervision of supervisory personnel and provide for the review of a firm’s investment banking and securities business, correspondence and internal communications, and customer complaints. [read post]
12 Sep 2022, 6:59 am
Barr also noted that innovative financial products, such as crypto and digital payment products, should be welcomed as tools for increasing access and lowering costs for banking services but the risks related to such innovations must be tempered by sound regulation and prudent safeguards to ensure the safety of the banking system and customers. [read post]
12 Sep 2022, 6:29 am
These services include, but are not limited to, services relating to (i) sales, endorsement, co-branding or similar agreements, (ii) product development and marketing, (iii) credit approval and collections, (iv) customer service, (v) funding or other treasury matters, (vi) loan portfolio acquisitions, mergers or other acquisitions, (vii) financial, legal or accounting matters, or (viii) acquisition of or advice or assistance to others to acquire the… [read post]
12 Sep 2022, 6:29 am
These services include, but are not limited to, services relating to (i) sales, endorsement, co-branding or similar agreements, (ii) product development and marketing, (iii) credit approval and collections, (iv) customer service, (v) funding or other treasury matters, (vi) loan portfolio acquisitions, mergers or other acquisitions, (vii) financial, legal or accounting matters, or (viii) acquisition of or advice or assistance to others to acquire the… [read post]
12 Sep 2022, 5:23 am
The product can be customized based on industry. [read post]
12 Sep 2022, 5:01 am
It is preservative and custodial, and while it might interest some conservatives, it might also appeal to political progressives concerned about the displacement of communities, customs, and ways of life. [read post]
12 Sep 2022, 4:45 am
BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)Florissant Bank Manager Accused of Defrauding Elderly Customers (DOJ Release)New Haven Man Admits Stealing More Than $160K from Retired Woman's Bank Account (DOJ Release)SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud (SEC Release)Federal Court Denies JPMorgan TRO Against Former… [read post]
12 Sep 2022, 4:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6659/securities-industry-commentator/BrokeAndBroker.com Hit With Second 2022 DMCA Takedown Notice After Prevailing in Same Dispute in 2020 (BrokeAndBroker.com Blog)Former SEC Ombudsman Misled Congress, Lied to IG, Probe Alleges (Bloomberg by John Holland)Court orders 'biblically based' RIA and execs to pay $2m over 12b-1 fees (Citywire RIA by… [read post]
12 Sep 2022, 4:45 am
The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)xBanker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)UPDATED: Stone Cold Day of Reckoning for FINRA and Self Regulation (BrokeAndBroker.com Blog)STANDING RESPONSE TO DMCA TAKEDOWN NOTICES PERTAINING TO COVERAGE OF In the Matter of the Arbitration Between Jay Lombard, Claimant vs. [read post]
12 Sep 2022, 4:45 am
Federal Court Denies JPMorgan TRO Against Former Employee But Grants Expedited Discovery (BrokeAndBroker.com Blog)SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering (SEC Release)The Deceased Customer, His Estate, The Merrill Lynch Employee, The Trusts, The Annuity, the Expert, and the Lawsuit (BrokeAndBroker.com Blog)Banker Pleads Guilty to Bank Secrecy Act Charges (DOJ Release)SEC Charges… [read post]
9 Sep 2022, 12:36 pm
Among other things, a firm’s WSPs must address supervision of supervisory personnel and provide for the review of a firm’s investment banking and securities business, correspondence and internal communications, and customer complaints. [read post]
9 Sep 2022, 7:39 am
” The banks literally “threw their customers to the wolves. [read post]
9 Sep 2022, 5:43 am
For example, courts have upheld: a Connecticut consumer protection law regulating (among other things) online sale of gift cards, in part because vendors could distinguish between online consumers in and out of Connecticut via credit card billing addresses;[7] a California law that regulates internet advertising that makes water treatment health claims, in part because "technology exists to separate [a] California website from the [rest-of-the-world] website," and because out-of-state… [read post]
8 Sep 2022, 9:14 am
” Noting that BaaS is not an issue limited to large banks, he commented that banks and fintechs, “in an effort to provide a ‘seamless’ customer experience, are teaming up in ways that make it more difficult for customers, and regulators, and the industry to distinguish between where the bank stops and the tech firm starts. [read post]
6 Sep 2022, 9:05 pm
Customs and Border Protection (CBP), Federal Protective Services FPS), and the U.S. [read post]
6 Sep 2022, 9:09 am
The requirement for 85% of a firm’s obligors to be based in the UK in order for a firm to qualify for the Simpler-firm regime may lead to existing customers who live abroad being de-banked by their lender, or prospective customers living abroad having fewer lenders from which to secure a mortgage or a loan. [read post]
