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Class Action › Financial Regulatory Reform › Securities and Exchange Commission (SEC)

A class action is a type of legal action where a representative individual or group of individuals can bring a claim on behalf of a larger group or class who share a common legal interest.
Sheppard Mullin Richter & Hampton LLP

Scrutiny of Cash Sweep Programs Intensifies as Brokers Face Wave of Class Action Suits

Sheppard Mullin Richter & Hampton LLP on

On August 5, a prominent investment brokerage firm disclosed in a quarterly filing that it has been responding to requests from the SEC since April related to the firm’s practice of sweeping uninvested customer account...more

Spilman Thomas & Battle, PLLC

Promissory Notes - Banking & Finance Insights: V 3, Issue 3, March 2023

Spilman Thomas & Battle, PLLC on

Now is the Time to Guard Against Reckless Banking Legislation - “Only a structural change to the way Congress acts on financial regulation will prevent future losses.” Why this is important: An old adage is that...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The FBI and OCC have each launched inquiries into pricing practices within American Express’s forex unit with an aim to determine “whether the foreign-exchange international payments department misrepresented pricing to...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

We got an official first look at the Fed’s revised Volcker Rule yesterday, and the “sweeping plan to soften” the rule will open “the door for banks to resume some trading activities restricted as part of the 2010 Dodd-Frank...more

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