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    Blogs > Biz Law Blog

    Banking/Financial Services

    April 22, 2024
    Compound Error: Bank Mishandles Customer Accounts and Then Makes it Worse
    April 1, 2024
    What Constitutes a “Financial Institution” for Purposes of the Corporate Transparency Act?
    March 18, 2024
    The Corporate Transparency Act: What is Self-Authentication Regarding Beneficial Ownership Information?
    March 11, 2024
    Laying Down the Law: SEC Sanctions UK Broker/Dealer and Four U.S. Representatives
    February 12, 2024
    Really Bad Counting: SEC Sanctions Royal Bank of Canada for Accounting Violations
    January 29, 2024
    ACCELERATING EMMA: Time and Price in Municipal Securities Transactions
    January 16, 2024
    Not Up to PAR: Regulators Sue Entities and Individuals for Fraudulent Fundraising for Small Business Loans
    November 28, 2023
    Accountable Independence: SEC Sues Indemnified Audit Firm
    November 13, 2023
    The Corporate Transparency Act: Key Areas of Consideration for Legal Opinions
    November 6, 2023
    Data (D)Riven: SEC Sanctions Market Players for Trade Info Failures
    October 23, 2023
    Mis-Running the Book: SEC Sanctions Citigroup Subsidiary for a Decade of Disarray
    October 9, 2023
    Crypto Fraud Corrections: When the “Blue Wall” is Pierced
    October 2, 2023
    Compromised CAT: The SEC Seeks a “Big Brother” of “Real Time” Market Information
    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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