Tag Archives: FINRA

Waiving Class-Action Rights – The Battle Continues

by Richard Magrann-Wells, March 13, 2013 | Posted in Financial Services

Can financial institutions require clients to waive their class-action rights? The U.S. Supreme Court answered this question in the affirmative in a 2011 decision, but now the matter may be under judicial review. The outcome could change the nature of … Continue reading →

5 Financial News Stories You May Have Missed – And a Penalty Flag

by Richard Magrann-Wells, March 2, 2012 | Posted in Financial Services

1.The Dog Ate My Regulation. The Fed is Late Delivering the Volcker Rule. When the financial reform was being discussed shortly after the credit crisis, former Fed Chairman Paul Volcker suggested that federally insured banks should not be allowed to … Continue reading →

5 Financial News Stories You May Have Missed – With a New England Win

by Richard Magrann-Wells, February 3, 2012 | Posted in Financial Services

This week: Merrill Lynch, Barclays, Lloyds Banking, Credit Suisse, Royal Bank of Scotland, HSBC, Bo Brownstein, Amro Holding--and a player to be named later. Continue reading →

5 Financial News Stories You May Have Missed — And Shrinkage

by Richard Magrann-Wells, October 28, 2011 | Posted in Financial Services

This week in financial news: hedge funds, forex, private equity funds, Gupta, and chartered banks. Continue reading →

5 Financial Services Stories You May Have Missed — The Effects of FX

by Richard Magrann-Wells, October 7, 2011 | Posted in Financial Services

This week: NY Attorney General, Bank of New York Mellon, Bank of America, House Financial Services Committee, UBS, rogue traders, SEC, FINRA, sub-accounts. Continue reading →

5 Financial Services Stories You May Have Missed — And a Rogues Gallery

by Richard Magrann-Wells, September 21, 2011 | Posted in Financial Services

We've rounded up the top five recent news stories on the world of banking that were easy to miss, but may have some lasting impact. Continue reading →