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HTMLCFPB Issues Report on Overdraft Charges
Peter L. Cockrell, Brett M. Kitt, Gil Rudolph, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
August 26, 2014, previously published on August 20, 2014
On July 31st, the CFPB issued a report on overdraft charges. The study is based on a set of account-level and transaction-level data from several of the large depository institutions which the CFPB supervises. In addition, the study was supplemented by CFPB research derived from a February 2012...

 

HTMLCFPB Issues Proposed Rule Implementing Dodd-Frank Amendments to HMDA
Peter L. Cockrell, Brett M. Kitt, Gil Rudolph, J. Scott Sheehan; Greenberg Traurig, LLP;
Legal Alert/Article
August 26, 2014, previously published on August 20, 2014
On July 24th, the CFPB issued a proposed rule that would amend Regulation C to implement amendments to the Home Mortgage Disclosure Act (HMDA) made by the Dodd-Frank Act. HMDA generally requires mortgage lenders to report information about loan applications they receive and about loans they...

 

HTMLCourt Approves Unique Overtime Class Action Settlement
Dylan R. Snowdon, Justin Turc; McCarthy Tétrault LLP;
Legal Alert/Article
August 25, 2014, previously published on August 13, 2014
Canadian employers have been watching a series of class action claims, with employees claiming hundreds of millions of dollars in unpaid overtime, since 2007. In January 2014 we summarized the progress of those cases here -...

 

HTMLSecond Circuit Defines ‘Customer’ Under FINRA Arbitration Rules
David C. Boch, Michael C. Moran; Bingham McCutchen LLP;
Legal Alert/Article
August 22, 2014, previously published on August 15, 2014
The U.S. Court of Appeals for the Second Circuit has provided a measure of clarity in limiting the definition of a “customer” who may bring a FINRA arbitration under FINRA Rule 12200. The decision is significant for those member firms that provide a broad array of financial services...

 

HTMLTime Is Running Out to Complain About the Complaint Portal
Christi A. Lawson; Foley & Lardner LLP;
Legal Alert/Article
August 22, 2014, previously published on August 18, 2014
You have 4 days! August 22, 2014 is the deadline to submit your comments in response to the Consumer Financial Protection Bureau’s (CFPB) proposed disclosure of consumer complaint narrative data. (https://federalregister.gov/a/2014-17274).

 

HTMLPREPA Bondholders Seek Summary Judgment Invalidating Puerto Rico’s Public Corporation Bankruptcy Legislation
William W. Kannel, Leonard Weiser-Varon; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
August 22, 2014, previously published on August 12, 2014
On August 11, Franklin Funds and Oppenheimer Rochester Funds filed a second amended complaint, opposition to motion to dismiss and cross-motion for summary judgment in the litigation they previously filed in the United States District Court for Puerto Rico challenging the constitutionality and...

 

HTMLBankruptcy Court Lacks Subject Matter Jurisdiction to Determine Tax Refund Claim Requested by Post-Confirmation Liquidating Trustee
Scott M. Grossman; Greenberg Traurig, LLP;
Legal Alert/Article
August 21, 2014, previously published on August 18, 2014
A bankruptcy court lacks subject matter jurisdiction to determine a tax refund claim under Section 505(a)(2)(B) of the Bankruptcy Code where the refund was requested by a liquidating trustee appointed pursuant to a plan, as opposed to a pre-confirmation bankruptcy trustee or debtor-in-possession,...

 

HTMLSEC Approves FINRA Rule to Prohibit Conditioning Settlements on Expungement
Dan F. Laney, Brett A. "Ben" Rogers, Robert H. "Rob" Snyder, Jeffrey W. Willis; Rogers & Hardin;
Legal Alert/Article
August 21, 2014, previously published on August 2014
On July 22, 2014, the Securities and Exchange Commission (“SEC”) approved the adoption of a new FINRA rule dealing with broker expungements. Rule 2081 prohibits the conditioning of settlement of a securities dispute on the customer’s agreement to consent to a request to expunge...

 

HTMLUnited States Court of Appeals for the Second Circuit Provides Clarification on Definition of Customer Under FINRA Rules
Dan F. Laney, Brett A. "Ben" Rogers, Robert H. "Rob" Snyder; Rogers & Hardin;
Legal Alert/Article
August 21, 2014, previously published on August 2014
Rogers & Hardin partner Ben Rogers was a panelist at the 2014 SIFMA Compliance and Legal Society Annual Seminar and presented on the topic of how courts define a “customer” for purposes of arbitration of customer disputes under applicable FINRA rules. As discussed by that panel,...

 

HTMLFINRA Announces Creation of Arbitration Task Force
Rogers Hardin;
Legal Alert/Article
August 21, 2014, previously published on August 2014
On July 17, 2014, the Financial Industry Regulation Authority (“FINRA”) announced the formation of a task force to consider and recommend changes to the FINRA arbitration process. The task force’s stated mission is to “consider possible enhancements to its arbitration forum...

 


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