July 2017
- NY Attorney General Investigation of Student Loan Collection: “New York Attorney General opens inquiry into student loan collection” (NYT, 7/19/17)
May 2017
- NY Regulator $350M Fine of BNP Paribas for Forex Manipulation: [TOP TEN]“BNP Paribas to pay $350m over forex manipulation” (FT, 5/24/17)
June 2016
- New York’s New Finance Regulator (Maria Vullo):
- “New York banking regulator to publish new rules to fight money laundering” (WSJ, 6/29/16)
- “New York’s top finance regulator is no ‘Clint Eastwood’” (FT, 6/22/16)
May 2016
- Municipalities as Lead Plaintiffs in Class Actions: [TOP TEN]“More cities suit up for legal actions” (WSJ, 5/3/16)
April 2016
- California AG MBS Lawsuit against Morgan Stanley: “California sues Morgan Stanley over crisis-era mortgage bonds” (LAT, 4/1/16)
January 2016
- State Attorney General Investigation of Volkswagen re Emissions Data Rigging: [TOP TEN]“VW refuses to give American states documents in emissions inquiries” (NYT, 1/9/16)
November 2015
- New York Attorney General “Spoofing” Investigation: “New York’s top prosecutor probes brokers over Forex spoofing” (FT, 11/24/15)
August 2015
- New York State Investigation of Promontory Financial Group re Conflicts of Interest:
- “New York regulator moves to suspend Promontory Financial” (NYT, 8/4/15)
- “N.Y. State suspends Promontory from some consulting work” (WSJ, 8/4/15)
July 2015
- New York State Investigation of Messaging Platform for Traders:
- “Banks’ new messaging startup gets questions from regulators” (WSJ, 7/23/15)
- “New York seeks information on Wall Street messaging platform” (NYT, 7/23/15)
- New York State Investigation of Promontory Financial Group re Conflicts of Interest:“New York escalates investigation into Promontory Financial Group” (NYT, 7/21/15)
May 2015
- LA City Attorney Lawsuit Against Wells Fargo for Unlawful Sales Tactics:
- “Lawsuit puts heat on Wells Fargo, but investors barely notice” (LAT, 5/15/15)
- “After LA lawsuit, Wells Fargo customers express anger over bank’s practices” (LAT, 5/6/15)
April 2015
- New York Attorney General Possible $500m Settlement with Morgan Stanley re MBS Fraud: “Morgan Stanley, New York talk $500 million mortgage-bond pact” (WSJ, 4/20/15)
- Sentencing Guidelines and Sentencing: “Justice Kennedy’s plea to Congress” (NYT, 4/5/15)
March 2015
- New York Attorney General’s Lawsuit Against AIG’s Greenberg: “The Spitzer-Schneiderman rules” (WSJ, 3/27/15)
February 2015
- JPM Legal and Regulatory Woes: “J.P. Morgan’ ousts 2 Asia bankers” (WSJ, 2/13/15)
- Investigationof Metals Price-Rigging: “Big banks face scrutiny over pricing of metals” (WSJ, 2/24/15)
January 2015
- California Attorney General Investigation of Mortgage Servicer (Ocwen): “Ocwen settles California mortgage compliance suit for $2.5 million” (LAT, 1/24/15)
- New York Attorney General “Dark Pool” Lawsuit Against Barclays: “Barclays fights back in dark pool case” (FT, 1/23/15)
- New York Attorney General Investigation of AIG’s Greenberg: “Another rigid prosecution?” (WSJ, 1/6/15)
- New York Attorney General Investigation of Fraudulent Debt Collector: “Debt buyer faces fine in doubtful lawsuits” (NYT, 1/9/15)
December 2014
- Attorney General Lawsuits and Plaintiff Attorney Paydays: [TOP TEN]“Lawyers create big paydays by coaxing attorneys general to sue” (NYT, 12/19/14)
- New York Financial Regulator $100 million Settlement with Mortgage Servicer (Ocwen):
- “Ocwen shares fall for second day” (WSJ, 12/23/14)
- “Erbey’s exit ends heady era at Ocwen” (WSJ, 12/23/14)
- “Ocwen chairman to step down in settlement with New York regulator” (NYT, 12/23/14)
- [TOP TEN]“Ocwen head to resign in settlement” (WSJ, 12/22/14)
- “Ocwen’s regulatory troubles: a timeline” (WSJ, 12/23/14)
November 2014
- New York Final Regulation of $315 million Fine for Bank of Tokyo: “Bank of Tokyo fined for ‘misleading’ New York regulator on Iran” (NYT, 11/18/14)
- New York Financial Regulator $100 million Settlement with Mortgage Servicer (Ocwen):”Ocwen, Wells end deal for servicing” (WSJ, 11/14/14)
- State Attorneys General and Lobbying:“Attorney generals for sale” (NYT, 11/20/14)
October 2014
- State Attorneys General and Lobbying:“Lobbyists, bearing gifts, pursue attorneys general” (NYT, 10/29/14)
- New York Financial Regulator $100 million Settlement with Mortgage Servicer (Ocwen):
- “Ocwen posts loss on legal provision” (WSJ, 10/31/14)
- “Ocwen accused anew of improper practices” (WSJ, 10/21/14)
September 2014
- New York Attorney General Lawsuit re Mortgage Discrimination by Banks: “New York set to accuse Buffalo bank of redlining” (NYT, 9/2/14)
- New York Attorney General Probe of Indexed Universal Life Policies: “State probes indexed-life sales practices” (WSJ, 9/22/14)
August 2014
- New York Attorney General Investigation of Standard Chartered’s Transactions: “British bank once again faces action by New York” (NYT, 8/6/14)
- New York Prosecutor Brings Charges Against Payday Lenders: “New York prosecutors charge payday lenders with usury” (NYT, 8/12/14)
July 2014
- New York Attorney General Lawsuit Against AIG/Countrywide: “The attorney general as Captain Ahab” (WSJ, 7/10/14)
- New York Attorney General Lawsuit Against Barclays for Dark Pool Trading:
- “Whether “sophisticated” clients of Wall Street can also get duped” (NYT, 7/28/14)
- “In legal filing, Barclays counters fraud suit” (NYT, 7/25/14)
- “Barclays hits back at dark-pool suit” (WSJ, 7/25/14)
- “Barclays court filing launches defense against ‘dark pool’ fraud allegations” (FT, 7/25/14)
- “Barclays pool drew fast-trade alarms” (WSJ, 7/21/14)
- “Trading in Barclays dark pool falls 37%” (WSJ, 7/15/14)
- “‘Dark pool’ trading drops at Barclys” (FT, 7/15/14)
- [TOP TEN]“Barclays suit sheds light on trading and shadows” (NYT, 7/5/14)
June 2014
- 49 State Attorney General $968 million settlement with SunTrust Bank for Mortgage Abuses:
- “Sun Trust settles allegations of mortgage abuse” (LAT, 6/18/14)
- [TOP TEN] “Suntrust fined over mortgages” (WSJ, 6/18/14)
- LA City Mortgage Discrimination Lawsuit Against Large Banks:“City attorney takes aim at big banks” (LAT, 6/8/14)
- New York Attorney General Lawsuit Against Barclays for Dark Pool Trading:
- “A darkness beyond Barclay’s pool” (WSJ, 6/27/14)
- “Barclays trader is casualty of probe” (WSJ, 6/28/14)
- “Barclay’s sued for “Dark Pool” (WSJ, 6/26/14)
- “NY sues Barclays over Dark Pool trading” (FT, 6/26/14)
- “New York accuses Barclay’s of fraud in private stock trading platform” (NYT, 6/26/14)
- State Attorney General Lawsuit Against S&P re MBS Rates: “Judge rules for states in suits against S&P” (WSJ, 6/4/14)
May 2014
- LA City Mortgage Discrimination Lawsuit Against Large Banks:“LA sues JPMorgan Chase, alleges predatory home loans to minorities” (LAT, 5/31/14)
- Madoff Ponzi Scheme: [TOP TEN] “Claims for Madoff cash swell” (WSJ, 5/14/14)
- New York Attorney General Investigation of Mortgage Servicer (OCWEN):
- “Mortgage servicing: New York widens probe” (WSJ, 5/21/14)
- “Mortgage servicers pass test” (WSJ, 5/15/14)
- New York Attorney General Investigation of Banks’ Private Trading Venues: “Goldman, Barclays, Credit Suisse draw high-speed trading scrutiny” (WSJ, 5/10/14)
- New York Attorney General Investigation of Mortgage Servicer (Nationstar, Ocwen):“Ocwen grapples with regulatory pressure” (WSJ, 5/2/14)
- New York Department of Finance Role in BNP, Credit Suisse Prosecution: [TOP TEN] “New York regulator is wrinkle in bank probes” (WSJ, 5/14/14)
April 2014
- New York Financial Regulation Lawsuit Against Auto Lender: “New York financial regulator uses Dodd-Frank to sue auto lender” (NYT, 4/24/14)
- New York Attorney General $7.5 million settlement with BofA CFO: [TOP TEN] “BofA ex-CFO settles Merrill case” (WSJ, 4/25/14)
- New York Attorney General Investigation of HFT: “Subpoenas are sent to fast trading firms” (WSJ, 4/17/14)
- New York Attorney General Investigation of Mortgage Servicer (Nationstar, Ocwen): “Mortgage servicer to pay $268 million to Californians” (LAT, 4/23/14)
- New York Financial Regulator Offshore Tax Evasion Investigation (Credit Suisse):
- “Credit Suisse tax probe deepens” (FT, 4/16/14)
- “New York regulator opens tax probe on Credit Suisse” (FT, 4/8/14)
- “New York launches probe” (WSJ, 4/8/14)
March 2014
- $25 billion Mortgage Fraud Settlement:
- “Big banks fulfill part of mortgage deal” (NYT, 3/19/14)
- “California sued over diversion of money from national mortgage settlement” (NYT, 3/15/14)
- “Groups sue Gov. Brown over mortgage settlement funds” (LAT, 3/15/14)
- New York Attorney General Investigation of Mortgage Servicer (Nationstar, Ocwen):
- “Mortgage servicer to pay $268 million to Californians” (LAT, 3/18/14)
- “Home loans find new hands” (WSJ, 3/10/14)
- “New York demands mortgage firm’s data” (NYT, 3/7/14)
- “New York is probing Nationstar Mortgage” (WSJ, 3/7/14)
- New York Attorney General Targets Corporate Individuals: [TOP TEN]“Lawsky to step up assault on Wall Street’s corporate wrongdoing” (FT, 3/10/14)
- New York Attorney General Investigation of High Speed Trading: “NY probes high-speed trading” (FT, 3/19/14)
February 2014
- New York Department of Financial Services Forex Manipulation Investigation: “New York opens new front in forex probe” (FT, 2/6/14)
- New York Attorney Lawsuit against Ex-AIG CEO Greenberg: “Hammering Hank” (WSJ, 2/13/14)
- New York Financial Regulator and Nonbank Mortgage Servicers:
- “Mortgage Servicer’s ties raise regulatory concern” (NYT, 2/28/14)
- “Ocwen faces New York probe” (WSJ, 2/27/14)
- “Potential conflicts cited for mortgage servicer” (NYT, 2/27/14)
- “Lawsky’s ‘Serious Concerns’” (WSJ, 2/13/14)
January 2014
- New York Attorney General Mortgage Settlement:
- “A hidden threat in the farm bill” (NYT, 1/25/14)
- “With $613 million at stake, an Albany rivalry is said to escalate” (NYT, 1/16/14)
- “New York’s mortgage bank hunter may not be able to direct his spoils” (NYT, 1/14/14)
December 2013
- $25 Billion Mortgage Settlement Pact:“Banks fail to comply with parts of mortgage settlement, report says” (NYT, 12/5/13)
November 2013
- State Attorney General Lawsuits: “Class action dodge” (WSJ, 11/6/13)
October 2013
- $25 Billion Mortgage Settlement Pact:
- “Mortgage-relief settlement monitor says banks have paid bulk” (WSJ, 10/17/13)
- “Settlement report finds banks giving timely mortgage relief” (NYT, 10/17/13)
- New York Attorney General MBS Lawsuits (BofA, Wells Fargo):
- “Wells Fargo is accused of bogging down mortgage modifications” (LAT, 10/3/13)
- “New loan rules set as complaints linger” (WSJ, 10/3/13)
- “New York plans action on alleged mortgage violations” (WSJ, 10/2/13)
- “New York is set to sue Wells Fargo in loan case” (NYT, 10/2/13)
September 2013
- Illinois Attorney General Foreclosure Lawsuit: “Deceptive practices in foreclosures” (NYT, 9/14/13)
- New York Financial Regulator Investigation of Insurance Company Reserves: “Regulator says rules on insurers don’t work” (NYT, 9/12/13)
- New York Financial Regulator (Lawsky) Scope of Authority: “Tribes challenge New York’s authority over their lending” (NYT, 9/12/13)
August 2013
- New York Department of Financial Services Investigation of Bitcoin:“New York opens probe of Bitcoin” (WSJ, 8/12/13)
- New York Financial Regulator Investigation of Online Lending:
- “Online lenders are sued by New York” (WSJ, 8/13/13)
- “New York scrutinizes online lenders” (WSJ, 8/6/13)
July 2013
- Massachusetts Investigates Sale of High Risk Financial Products to Older Investors:“State inquiry into sale of risky investments” (NYT, 7/11/13)
- New York AG Investigation of Early Data Release:
- “Thomson Reuters suspends early release of consumer confidence data” (LAT, 7/9/13)
- “Peeks still available for some key data” (WSJ, 7/9/13)
- “Regulators examining sales of early financial data” (NYT, 7/9/13)
- “Financial information groups face NY probe” (FT, 7/9/13)
June 2013
- $25 Billion Bank Foreclosure Settlement:
- “Monitor cites failings in home loan settlement” (LAT, 6/21/13)
- “Banks blundered on mortgage pact” (WSJ, 6/20/13)
- “Monitor finds mortgage lenders still falling short of settlement’s terms” (NYT, 6/20/13)
- “Banks could see new twist applied to mortgage settlement” (LAT, 6/20/13)
- California AG Lawsuit Against Debt Collector Practices (JP Morgan Chase):“Regulators stepping up probes of debt collector practices” (LAT, 6/22/13)
- New York AG Lawsuit Against AIG’s Greenberg:
- “Greenberg firm’s suit can proceed” (WSJ, 6/27/13)
- “AIG’s former chief can pursue narrower suit against US” (NYT, 6/27/13)
- “Top New York court clears way for Greenberg civil trial” (WSJ, 6/26/13)
- New York AG Lawsuit Against HSBC re Mortgage Procedures: “HSBC accused of ignoring US foreclosure law” (FT, 6/5/13)
- New York AG, Martin Act and Chevron, AIG Lawsuit: “Cleaning up after Spitzer” (WSJ, 6/5/13)
- State AG Lawsuit Against S&P: “S&P scores a win in lawsuits” (WSJ, 6/7/13)
May 2013
- $3.66 Bn Mortgage Settlement: “Errors Afflict More Checks Issued to Aid Homeowners” (NYT, 5/9/13)
- $9.3 Bn Mortgage Settlement:“Foreclosure pact, miscues put firm on hot seat” (WSJ, 5/13/13)
- AIG/Countrywide Lawsuit by NY AG: “The endless lawsuit” (WSJ, 5/2/13)
- California AG Lawsuit Against Debt Collector Practices (JP Morgan Chase):
- “State fights top US bank in court” (WSJ, 5/13/13)
- “AG slams JP Morgan Chase with civil suit” (LA Daily Journal, 5/10/13)
- “JPMorgan sued over credit card debt collecting” (FT, 5/10/13)
- New York AG Investigation of Pension Advance Firms:
- “Senate launches pension-sale probe” (WSJ, 5/20/13)
- “Pension predators” (NYT, 5/16/13)
- “New York investigates advances on pensions” (NYT, 5/8/13)
- New York AG Lawsuit Against AIG’s Greenberg:
- “After AIG, ‘I’m sorry’ is still elusive” (NYT, 5/21/13)
- “Drop the suit against Hank Greenberg” (WSJ, 5/13/13)
- New York AG Lawsuit Against BofA and $26 Bn Settlement Violations:
- “Banks Still Behaving Badly” (NYT, 5/9/13)
- “2 big banks face suits in mortgage pact abuses” (NYT, 5/7/13)
- State AG and Federal Mortgage Settlements: “BofA, JP Morgan say they have met settlement terms” (LAT, 5/22/13)
April 2013
- $9.3 Bn Mortgage Settlement:“More Problems for a Mortgage Deal” (NYT, 4/20/13)
- $25Bn Mortgage Settlement:
- “Senator Boxer urges foreclosure probe” (LAT, 4/13/13)
- “Scant relief in foreclosure payouts” (WSJ, 4/10/13)
- “First checks to be issued in mortgage settlement” (NYT, 4/10/13)
- “Wells hit in pace of mortgage relief” (WSJ, 4/5/13)
- Barclays Internal Investigation Report: “Report faults ‘at all costs’ attitude at Barclays that encouraged risk” (NYT, 4/4/13)
- Libor Manipulation (Barclays): “2 executives depart in management shake-up at Barclays” (NYT, 4/19/13)
- Libor Manipulation Investigation: “Ruling in rate probe doesn’t slow cases” (WSJ, 4/4/13)
- Mortgage Foreclosure Settlements:
- “Checks promise mortgage relief, only to bounce” (NYT, 4/18/13)
- “Payouts to begin over lost homes” (LAT, 4/10/13)
- New York AG Lawsuit against AIG’s Greenberg:[TOP TEN] “New York seeks to Press trial of AIG’s Ex-Chief” (NYT, 4/26/13)
March 2013
- CDO (Deutsche Bank): “Deutsche bank is fined over CDO” (WSJ, 3/14/13)
- S&P Lawsuits: “S&P seeks to merge state suits into one” (WSJ, 3/28/13)
February 2013
- $45 Billion State and Federal Mortgage and Mortgage Foreclosure Violation Settlements:
- “Despite aid, borrowers still face foreclosures” (NYT, 2/22/13)
- “Banks aim to forgive more debt in state” (LAT, 2/22/13)
- “Mortgage packed relief: $19bn” (WSJ, 2/22/13)
- “Five US groups hand out mortgage relief of $45bn” (FT, 2/22/13)
November 2012
- $25 Billion Mortgage Settlement/California AG:
- “More questions on mortgage release” (NYT, 11/23/12)
- “Foreclosure settlement relief already exceeds $26 billion” (LAT, 11/20/12)
- “US Banks give $26bn in mortgage related relief” (FT, 11/20/12)
- New York AG Mortgage-Backed Securities Lawsuits (Credit Suisse):
- “New York sues Credit Suisse” (NYT, 11/21/12)
- “Credit Suisse sued in fresh crisis era case” (WSJ, 11/21/12)
- New York AG Mortgage-Backed Securities Lawsuits (JP Morgan/Bear Stearns):
- “JP Morgan in talks to settle misconduct claims” (FT, 11/7/12)
- “JP Morgan nears SEC settlement” (WSJ, 11/7/12)
October 2012
- Potential Multi-State Civil Lawsuits for Libor Manipulation: “More banks subpoenaed over Libor” (LAT, 10/27/12)
- New York AG Mortgage-Backed Securities Lawsuits (JP Morgan/Bear Stearns):
- [TOP TEN] “Nowadays, Wall St. saviors may wish they weren’t” (NYT, 10/16/12)
- “Biting the bank that saved you” (WSJ, 10/8/12)
- “JP Morgan Chase sued over toxic mortgages” (FT, 10/6/12)
- “US regulator tees up bank lawsuit” (FT, 10/3/12)
- “Powerful Weapon” (NYT, 10/3/12)
- “Prosecutor: big bank misled investors” (LAT, 10/3/12)
- “JP Morgan still isn’t home free” (WSJ, 10/3/12)
- “JP Morgan: new case copies older lawsuit” (WSJ, 10/3/12)
- [TOP TEN] “JP Morgan Sued on Mortgage Bonds” (WSJ, 10/2/12)
- “JPMorgan Unit is sued over mortgage pools” (NYT, 10/2/12)
- “JPMorgan is targeted by U.S. task force” (LAT, 10/2/12)
- $25 Billion Mortgage Settlement/California AG: “Show them the Money” (WSJ, 10/22/12)
September 2012
- [TOP TEN]Potential Multi-State Civil Lawsuits for Libor Manipulation: “Banks Face Suits as States Weigh Libor Losses” (NYT, 9/5/12)
- StanChart: New York Investigation of $250 Billion Iran Money Laundering:
- “Standard Chartered’s next worry is a $1 Billion dollar loan in Indonesia” (NYT, 9/28/12)
- “Tameasek eyes of StanChart holding” (FT, 9/25/12)
- $25 Billion Mortgage Settlement/California AG: “How to erase a debt that isn’t there” (NYT, 9/30/12)
August 2012
- Libor Manipulation:
- “Seven banks in New York Libor probe” (FT, 8/16/12)
- “State regulators widen Libor investigation” (NYT, 8/16/12)
- Mortgage Servicer Fake Signatures Settlement: “State settles of forgeries by the servicer of mortgages” (NYT, 8/3/12)
- StanChart: New York Investigation of $250 Billion Iran Money Laundering:
- “Why bankers are more scared of New York than London” (FT, 8/24/12)
- “Bruising week for StanChart chief” (FT, 8/18/12)
- “StanChart speeds board shake-up” (FT, 8/18/12)
- “Ever hear the one about…” (NYT, 8/18/12)
- “Families of bomb victims sue StanChart” (FT, 8/17/12)
- “New York regulator strides into spotlight” (FT, 8/16/12)
- “Optimism grows over StanChart’s prospects” (FT, 8/16/12)
- “StanChart sought swift end to NY dispute” (FT, 8/16/12)
- “Falling out of line: Bank settlements with U.S. regulators” (FT, 8/16/12)
- “StanChart rushes to unsettling deal” (FT, 8/16/12)
- “StanChart shares bounce after settlement” (FT, 8/16/12)
- “Bank deal rankles regulators” (WSJ, 8/16/12)
- “StanChart settles NY claim for $340m” (FT, 8/15/12)
- “Standard Chartered settles inquiry of Iran transaction” (LAT, 8/15/12)
- “Laundering case settled by bank for $340 million” (NYT, 8/15/12)
- “Lawsky’s spitzer moment” (WSJ, 8/15/12)
- “Bank settles Iran money case” (WSJ, 8/15/12)
- “A question of improper money flows” (NYT, 8/14/12)
- “Iran’s favorite bankers” (WSJ, 8/13/12)
- “StanChart pushes for penalty resolution” (FT, 8/13/12)
- “A Lawsky unto himself, or why New York erred on StandChart” (FT, 8/13/12)
- [TOP TEN] “A bank at bay” (FT, 8/11/12)
- “Regulators shines its spotlight on a bank and on himself” (NYT, 8/10/12)
- “StanChart is a Reminder of Bankings insatiable Greed” (FT, 8/10/12)
- [TOP TEN] “Who are the true Villains of the StanChart tragedy” (FT, 8/9/12)
- “UK Politicians fear City Witch-Hunt” (FT, 8/9/12)
- “Sands says ‘wire-stripping’ legitimate” (FT, 8/9/12)
- “UK to US: Don’t Rush to Judgement” (WSJ, 8/9/12)
- “Once mighty British Banks see reputations soiled by scandals” (WSJ, 8/8/12)
- “UK Banks in the Eye of the Storm” (WSJ, 8/8/12)
- “Iran Inquiry is an Abrupt reversal for Standard Chartered” (NYT, 8/8/12)
- “Accusations Against Bank on Iran Deals Surprise US Regulators, Too” (NYT, 8/8/12)
- “StanChart stunned by force of New York attack” (FT, 8/8/12)
- “Crisis hits StanChart, the go-to bank in a Crisis” (FT, 8/8/12)
- “StanChart will not be the last bank to be stung by the US” (FT, 8/8/12)
- “StanChart is forced into the Trenches” (FT, 8/8/12)
- “British MPs accuse US of anti-City agenda” (FT, 8/8/12)
- “StanChart hits back at Iran Claims” (FT, 8/8/12)
- “Big bank examined over Iran dealings” (WSJ, 8/7/12)
- “Regulator says bank helped Iran hide deals” (NYT, 8/7/12)
- “StanChart accused of hiding Iran transactions” (FT, 8/7/12)
- NY DFS 27 Page Report on StanChart (8/6/12)
July 2012
- Libor Manipulation: “States step in to Libor probe” (WSJ, 7/16/12)
June 2012
- $25 Billion Mortgage Settlement/California AG: “Mortgage settlement overseer enlists students” (LA Daily Journal, 6/13/12)