Tag Archives: Conduct

Third Circuit Says CFPB May Investigate the Totality of a Target’s Business Conduct

Earlier this week, the Third Circuit rejected student loan servicer Heartland Campus Solutions, ECSI’s challenge to a CFPB civil investigative demand (CID), which sought information concerning ECSI’s “servicing of student loans, including processing payments, charging fees, transferring loans, maintaining accounts, … Continue reading

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Hybrid Reps Not Held to Highest Standard of Conduct – Yet.

As the debate continues to rage within the financial industry over which professional standard of conduct financial advisors should be held to, a new report suggests that brokers are evolving faster than the rules themselves. According to a new study … Continue reading

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July 2018 Case Results (Reckless Driving for 100 mph Dismissed / Disorderly Conduct Charges Dismissed)

We had a busy July.  Below we feature dismissals for reckless driving, disorderly conduct, driving on a suspended license, and other traffic related charges from courts in the Tidewater area of Virginia from July of 2018.  Wins featured below include … Continue reading

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Could Judge Brett Kavanaugh, as a SCOTUS Justice, encourage his colleagues to take up acquitted conduct sentencing?

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SEC Investor Advocate’s objectives 2019 include broker-dealer standards of conduct, Kokesh concerns

By Amanda Maine, J.D. The SEC’s Office of the Investor Advocate (OIA) has submitted a report on its objectives for fiscal year 2019, which begins on October 1, 2018. The report expects the Commission to examine the impact on investors … Continue reading

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