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  • Blog: Broker-Dealer Law CornerAmeriprise Learns The Hard Lesson That To Be Deemed “Reasonable,” A Supervisory System Actually Has To WorkPosted on August 16, 2018 by Alan Wolper
    A little over a year ago, I blogged about a FINRA Enforcement action against an Ameriprise rep – but, notably, not Ameriprise – to highlight what a great job the firm did in ensuring that its sales force was not engaging in any undisclosed outside business activities.  It had a robust supervisory procedure, with multiple...… Continue Reading
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  • Blog: Waller Law BlogWhy QAPI spells success for skilled nursing facilitiesPosted on August 15, 2018 by Jeffery D. Parrish
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  • Blog: NextGen Financial Services ReportOnline Banking: Are Financial Institutions Subjecting Themselves to Other Jurisdictions Without Knowing?Posted on August 13, 2018 by Larissa Sanchez Fields
    We work with many regional financial institution clients on a daily basis, and they regularly send us out-of-state garnishments, liens, levies, and other legal processes with one question—“Do I have to answer this?” The first question we ask is whether the foreign state can exercise jurisdiction over the regional financial institution—in other words, whether the...Continue Reading…
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  • Blog: Antitrust UpdateSupreme Court Grants Apple’s Petition To Take Major Antitrust Standing CasePosted on August 5, 2018 by Daniel A. Friedman, Jonathan H. Hatch
    The Supreme Court has granted certiorari and will hear, next term, an appeal from Ninth Circuit’s decision in In re Apple iPhone Antitrust Litigation, a case we previously reported on. In In re Apple iPhone, the Ninth Circuit held that because Apple sold iPhone apps directly to consumers, consumers are direct purchasers that have standing [...]
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  • Blog: Capital Markets LitigationFlattening Yield Curve Signals Looming Recession, Some SayPosted on July 2, 2018 by Alexandra Droz and Carly Coleman
    Recently, investors and economists have focused increased attention on bond market yield curves, which have proven to be a compelling predictor of an upcoming economic recession. The yield curve is the measure of the difference between short-term and long-term interest rates on government bonds.  In a healthy economy, interest rates on long-term (typically, ten-year) bonds...… Continue Reading
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  • Blog: Banking on This: Spilman Mortgage & Consumer Banking ReportFDCPA Violations Begin When the Violation OccursPosted on May 17, 2018 by Spilman Administrator
    On Tuesday, the United States Court of Appeals for the Third Circuit departed from opinions issued by the Fourth and Ninth Circuits in ruling that violations of the FDCPA begin to run when the violation occurs. In Rotkiske v. Klemm, et al., plaintiff Rotkiske sued a law firm that, in 2009, had obtained a default […]
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