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  • Article

    Broker-Dealer Settles Overtime Claims Brought By Financial Advisors Across The Country

    UBS announced on February 9, 2006, that it had reached agreement to pay $89 million to settle a series of collective actions brought under the federal Fair Labor Standards Act and state law
    United StatesEmployment and HR
    Dorsey & Whitney LLP
    Dorsey & Whitney LLP
  • Article

    #ThrowbackThursday: Mortgage Servicing Transfers: Meeting The Operational And Regulatory Demands

    In November 2014, Morrison & Foerster partner Donald Lampe spoke at the American Conference Institute's 3rd Annual Bank and Non-Bank Forum on Mortgage Servicing Compliance...
    United StatesFinance and Banking
    Morrison Foerster
Morrison Foerster
  • Article

    #ThrowbackThursday: The CFPB Examination Resource Guide

    Morrison & Foerster partner Don Lampe, Of Counsel Leonard Chanin, and associate Ashley Hutto-Schultz worked with The Mortgage Bankers Association to publish "The CFPB Examination Resource Guide"...
    United StatesFinance and Banking
    Morrison Foerster
    Morrison Foerster
  • Article

    #ThrowbackThursday: TRID At The Crossroads: Where Are We Now – Where Are We Going?

    In January 2015, Morrison & Foerster partner Donald Lampe published the article "TRID at the Crossroads: Where Are We Now – Where Are We Going?" in Mortgage Compliance Magazine.
    United StatesFinance and Banking
    Morrison Foerster
    Morrison Foerster
  • Article

    Recent Transactions

    Here is a rundown of some of Cadwalader's recent work on behalf of clients...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Recent Transactions

    An insurance company on the refinance of a $147 million loan portfolio on nine assets over eight separate states intended to finance the renovation and conversion of various extended stay hotels into multifamily...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    51 State Financial Regulatory Agencies Enter Settlement And Consent Order With Nonbank Mortgage Servicing Companies

    On January 9, 2025, 51 State Financial Regulatory Agencies (the "Agencies") announced a coordinated consent order and settlement agreement with nonbank mor​tgage servicing...
    United StatesFinance and Banking
    Goodwin Procter LLP
    Goodwin Procter LLP
  • Article

    ABA Applauds Reconsideration Of Ability-To-Repay Credit Card Regulations

    Today, the American Bankers Association submitted a letter supporting the CFPB’s proposal to reconsider the FRB’s interpretation of the TILA requirement that lenders consider the ability of the borrower to make payments before opening a credit card account.
    United StatesFinance and Banking
    Waller Lansden Dortch & Davis
    Waller Lansden Dortch & Davis
  • Article

    Amendments Relating To Small Creditors And Rural Or Underserved Areas Under The Truth In Lending Act (Regulation Z)

    The CFPB is amending certain mortgage rules issued by the Bureau in 2013.
    United StatesFinance and Banking
    Morrison Foerster
    Morrison Foerster
  • Article

    Bank To Pay $2.8 Million In Consumer Restitution To Settle Alleged Deceptive Fee Practices

    The Board of Governors of the Federal Reserve System recently issued a Consent Order against Peoples Bank, based in Lawrence...
    United StatesFinance and Banking
    Troutman Pepper Locke LLP
    Troutman Pepper Locke LLP
  • Article

    Banking Agencies To Increase Commercial Real Estate Appraisal Threshold

    The Office of the Comptroller of the Currency, the FDIC and the Board of Governors of the Federal Reserve System (collectively, the "Agencies") adopted a new rule ...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Beware The Boilerplate: Introduction

    If there’s anything we’ve learned from this Great Recession, it’s that better loans make better asset-backed securities.
    United StatesFinance and Banking
    Hunton Andrews Kurth LLP
    Hunton Andrews Kurth LLP
  • Article

    Broker-Dealer Settles Charges For Failure To Supervise RMBS Traders And Salespersons

    A broker-dealer agreed to pay approximately $15 million to settle SEC charges of failing to supervise residential mortgage-backed securities ("RMBS") traders and salespersons.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Broker-Dealer Settles FINRA Charges For OATS Reporting Inaccuracies

    A broker-dealer settled FINRA charges for Order Audit Trail System ("OATS") reporting violations.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Broker-Dealer Settles FINRA Charges For Registration Violations

    A broker-dealer settled FINRA charges for knowingly permitting an individual to operate as an unregistered principal.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Broker-Dealer Settles FINRA Charges For TRACE Reporting Inaccuracies

    A broker-dealer settled FINRA charges for inaccurately reporting to the Trade Reporting and Compliance Engine ("TRACE") the capacity in which it acted in executing reportable transactions.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Broker-Dealer Settles FINRA Charges For Unsuitable Short-Term Trading

    A broker-dealer settled FINRA charges for failing to implement and maintain a sufficient supervisory system, which led to violations of FINRA Rule 3110 ("Supervision") and other securities regulations
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Broker-Dealer Settles FINRA Charges Of Violating Order Protection Rule

    A broker-dealer settled FINRA charges of failure to prevent trade-throughs of protected quotations in national market system ("NMS") stocks
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Broker-Dealer Settles Inadequate Supervision And Related Charges

    A broker-dealer agreed to settle FINRA charges for multiple violations including providing inaccurate statements ...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Broker-Dealer Settles Multiple State Charges Of Selling Unregistered Securities

    A broker-dealer settled multi-state charges, coordinated by the North American Securities Administrators Association ("NASAA"), for selling unregistered non-exempt securities.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Showing 161–180 of 5948 results

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