Losses and lawsuits

- By Risk Staff
- 01 Jun 2003

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Our monthly review of fraud management failure, human error and other operational hazards at financial firms around the world, distilled from the First database of operational risk loss events and case studies

FleetBoston

In a relationship risk case, the New York Stock Exchange (NYSE) fined Fleet Specialists, a subsidiary of FleetBoston, $150,000 in April 2003. The fine was levied as a result of an April 10, 2003 citation that alleged Fleet had violated federal and exchange regulations in how it

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