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Greenberg Traurig, LLP Houston, TX Document Search Results (44)

 

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HTMLCFPB Takes Action against Financial Institutions for HMDA Violations
Robert E. Bostrom, Peter L. Cockrell, Brett M. Kitt, Gil Rudolph, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
October 18, 2013, previously published on October 14, 2013
On October 9th, the CFPB ordered both a bank and nonbank mortgage lender to pay fines for violating the Home Mortgage Disclosure Act (HMDA). The CFPB entered consent orders with Mortgage Master, Inc. and Washington Federal, requiring them to pay to pay civil penalties of $425,000 and $34,000,...

 

HTMLCFPB Removing Enforcement Attorneys from Supervisory Exams
Robert E. Bostrom, Peter L. Cockrell, Brett M. Kitt, Gil Rudolph, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
October 18, 2013, previously published on October 14, 2013
On October 10th, the CFPB announced that it will discontinue its controversial practice of sending its enforcement attorneys to participate alongside supervision examiners in its examinations of supervised entities. This practice had been a major point of contention between the CFPB and the...

 

HTMLNo Broker-Customer Relationship Absent a Direct Connection to Investment-Related Services Provided by the Brokerage Firm
Jennifer Tomsen, Terry R. Weiss; Greenberg Traurig, LLP;
Legal Alert/Article
August 16, 2013, previously published on August 14, 2013
A Utah federal district court is the latest to join the chorus of opinions holding that a would-be arbitration claimant cannot proceed with a FINRA arbitration because the investor was not the brokerage firm’s customer. Orchard Securities LLC v. Pavel. A host of district and appellate...

 

HTMLInsights from the 2013 SIFMA San Francisco Regional Conference
Scott E. Rahn, Jennifer Tomsen; Greenberg Traurig, LLP;
Legal Alert/Article
August 7, 2013, previously published on August 6, 2013
After a hiatus of many years, the SIFMA Compliance and Legal Society resurrected its western regional conference, held on August 1, 2013 at the offices of Charles Schwab in San Francisco. The day-long conference was well-attended, with spirited panels on a host of topics, including recent...

 


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