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Banking/Financial Services

September 18, 2023
Altering the Accounts: SEC Chief Accountant Urges “Holism” in Risk Assessment
August 7, 2023
Major Fraud: SEC, FINRA, and NJ US Attorney Charge Adviser With Theft From Military Families
July 24, 2023
Why “ASK MARCUM”: SEC and PCAOB Sanction Accounting Firm for Deficient Work
July 17, 2023
Better Meant Than Delivered: SEC Sanctions Failed Tax Loss Harvest
May 22, 2023
Vintage Fraud: When Liquid Assets Leak Away
May 15, 2023
Pricing Service? SEC Bends the Law to Sanction Valuer of Fixed Income Securities
April 24, 2023
No Exit: SEC Sanctions Investment Advisers for “Pay to Play” Violations
April 17, 2023
Garden State “Developers:” SEC Sues Real Estate Investment Firm and its Principals for $630 Million Fraud
April 10, 2023
Volunteers Only Win in Tennessee: NJ Court Holds No LLC Derivative Claim and No Third Party Claim v. Accountant
April 3, 2023
When the “Back Door” is Closed: Muni Bond Underwriter Sanctioned
March 20, 2023
SEC Obtains Court Judgment Against Unregistered Municipal Advisors
March 13, 2023
Fiddling With FICC: Proposed Rule Changes re Capital Requirements
March 6, 2023
Who Pays and How Much? Consolidated Audit Trail Funding
February 27, 2023
Calling Sam Spade: SEC Charges Two N.C. Executives Who Used a Malta-based Entity to Steal Over $75 Million
February 6, 2023
Even-handed Thievery: SEC Sanctions Unregistered Investment Adviser for Fraudulent: I) Investment Advice, AND II) Filings for PPP Loans
January 9, 2023
Investment Esoterica: A Stockless Triptych
January 3, 2023
Double Jeopardy: SEC and FRB Sanction Bank and its CEO
December 12, 2022
'No Exit': SEC Sanctions Investment Adviser for Impeding University Investors from Departing a Private Fund
December 5, 2022
Goldman and the Juliet Problem: SEC Sanctions Adviser for Faulty ESG Policies
November 28, 2022
Only Sell What You Know-II: Selling Variable Interest Structure Products Is a Fraud on the Unsuspecting
November 21, 2022
“Red Flags in the Mind Set”: SEC Sanctions Three Broker/Dealers for Identity Theft Deficiencies
October 31, 2022
Capturing the “Bull”: US Attorney and SEC Deal With “Inside” Tipper
October 24, 2022
Equitable Teaching: SEC Fails Variable Annuity Retirement Plans for Educators
October 17, 2022
Valuing the Risk: FICC Proposes Rule Change to Protect Against Repo Volatility
October 13, 2022
Lessons from an Elder Abuse Story with a (Relatively) Happy Ending
September 6, 2022
Book Cooking Consequences: SEC Sanctions Corporate Executives and Outside Auditors for Accounting Fraud
August 25, 2022
Libor Continues to Fade Away
August 22, 2022
Sell Only What You Know: Swiss Bank Negligence is a Fraud on Clients
August 15, 2022
Impaired Brilliance: SEC and US Attorney Sue Veteran Investor for Insider Trading
August 1, 2022
Who Are You? Auditor or Consultant, And Nonetheless Cheating on Exams
July 25, 2022
Mony a Mickle Maks a Muckle: SEC Charges Foreign Nationals with Two Microcap Frauds
July 15, 2022
Fingers in the Till: SEC Charges Texas City Administrator with Falsified Financial Statements to Conceal Embezzlement
July 11, 2022
Stealing From the Weak: SEC Charges Fraudulent Operation of Special Needs Pooled Trusts
June 27, 2022
Serving the Public? SEC Charges Two Municipalities and Their Leaders with Bond Fraud
June 20, 2022
Changing the Game: SEC Brings Enforcement Action for Exchanging Annuities
March 15, 2022
Maximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client Abuse
February 9, 2022
Piloting SARs for Foreign Bank Affiliates
December 9, 2021
"Call the Plumber": Bank for International Settlement AND IOSCO Call for Reforms
May 11, 2021
Friends and Family Fraud: LLC Does It
May 4, 2021
LIBOR Fading Away: What Lenders and Borrowers Should Know
March 23, 2021
Swiss Miss: The Fed, Basel III, and SLR
February 4, 2021
Tracking Treasury Trading: The Fed to Collect the TRACEs
December 3, 2020
LIBOR Is Fading Away; But, Perhaps, Not as Quickly as Thought
December 1, 2020
Treasury Transparency: Enhanced Regulations for Trading in Government Securities
November 17, 2020
LIBOR Is Fading Away
November 10, 2020
Why FinTech Needs Boston Blackie
October 8, 2020
“We’re Not in Kansas Anymore:” SEC Enforcement Action Against a Trust Company With Trusts
October 6, 2020
Commerce, Culture, and Compliance
September 17, 2020
Bretton Woods, Bank Herstatt, and FedNow: The Origins of the International Payment System
June 10, 2020
Government Provides Relief in the Paycheck Protection Program Flexibility Act
May 29, 2020
House Passes Bill to Relax PPP Forgiveness Conditions
April 27, 2020
Inside the CARES Act: Paycheck II the Paycheck Protection Program and Health Care Enhancement Act
April 13, 2020
Small Business Reorganization Act: The Vaccine for Small Businesses Suffering From the COVID-19 Pandemic
April 8, 2020
Small Business and Consumer Debt Collection Emergency Relief Act of 2020
April 1, 2020
Inside the CARES Act: COVID-19 Update – SBA Releases Sample Application for Paycheck Protection Program
March 31, 2020
Inside the CARES Act: Update—Applying for a COVID-19-Related SBA Loan?
March 28, 2020
Inside the CARES Act: Changes to the Bankruptcy Code Under the CARES Act
March 18, 2020
COVID-19 Is Destroying Our Economy, Don’t Let It Destroy Your Businesses
December 9, 2019
SOFR and the Shutdown of Overnight Repos: What Happens If There Is Nothing to Measure?
August 30, 2019
SEC Stresses Attention to LIBOR Transition in Joint Statement
August 20, 2019
LIBOR to SOFR: The New Adjustable Rate Mortgage
July 23, 2019
Oh How Will We Measure When the Ruler is Uncertain: More Observations on the LIBOR Saga
June 3, 2019
"Measure for Measure:" LIBOR, SOFR, and the U.S. Dollar ICE Bank Yield Index
April 9, 2019
FASB Refuses to Let Regional Banks Avoid Taking Earlier Loss Reserves
August 14, 2018
Single Member LLCs - Best Practices for Maintaining Liability Protection

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