42,733 results found

A broker-dealer agreed to settle FINRA charges for failing to identify and apply available sales charge waivers on sales of variable annuities to eligible retirement accounts and charitable organizations.

A broker-dealer agreed to settle FINRA charges for failing to maintain a sufficient system of risk management controls ...

A broker-dealer agreed to pay $50,000 to settle FINRA charges that it failed to "establish, document, and maintain" a system of adequate risk management controls and supervisory...

A broker-dealer settled FINRA charges for the firm's failure to fulfill its supervisory and inspection requirements.

A broker-dealer settled FINRA charges for failing to implement a supervisory system in connection with the sale to retail investors of leveraged

A broker-dealer settled FINRA charges of failing to report transactions arising from the exercise of OTC options, and of related supervisory violations.

Financial Restructuring special counsel Kathryn Borgeson presents a podcast on three of the most important building blocks for a bankruptcy-remote borrower:

SEC Commissioners Peirce and Roisman criticize Chair Gensler's regulatory agenda. Financial Services Committee Chair seeks moratorium on large bank mergers and acquisitions.

In this latest installment of Money Matters, Jay Ross provides an update on a recent case from the California Court of Appeal that struck a blow at lenders' ability to recover default interest...

Last week, Assembly Member Grayson gutted and amended AB 2269 so as to create a "Digital Financial Assets Law". This law would require persons engaging in digital financial asset business...

Thomas P. Vartanian, Chairman of the Firm’s Financial Institutions Transactions Group, and Gordon L. Miller, Washington Special Counsel in the FIT Group, have authored an article in the March 2010 issue of Community Banker, the monthly publication of the American Bankers Association, entitled Capital and Control: Two Sides of the Same Coin for Community Banks.

Industry Conversations, Mike Mascia sits down with Cadwalader partner Jed Miller to discuss capital relief trades for banks in the context of subscription facilities.

Our Legislative & Public Policy team is pleased to provide the August 2023 edition of "Capital Snapshot," a monthly summary of the issues, events, and timelines driving federal policy and political decisions.

In this episode of Fund Finance Friday: Industry Conversations, Michael Sinclair of People's United Bank joins Mike Mascia to discuss the fund finance happenings at People's United...

In this episode of Fund Finance Friday: Industry Conversations, Michael Sinclair of People's United Bank joins Mike Mascia to discuss the fund finance happenings at People's United...

Sammy Asoli, the newly minted Global Head of Subscription Secured Finance at SMBC, joins Mike Mascia.

Cadwalader's Mike Mascia connects with Jeff Johnston, Managing Director and Head of Subscription Finance at Wells Fargo and Chairman of the Fund Finance Association.

A chief compliance officer of an investment firm settled CFTC charges for fraudulently soliciting investments in commodity pools