Fraud and Misconduct by Financial Intermediaries

Fraud and Misconduct by Financial Intermediaries

News May 1, 2012

Article written by Frank Palmay & Assunta Di Lorenzo – prepared for CLHIA 2012 Compliance and Consumer Complaints Annual Conference

1. Introduction

Fraud or its synonyms “dishonesty, infidelity, faithlessness, perfidy, unfairness etc…”3 is the direct antithesis of “trust, good faith, fidelity, fiduciary etc…” which are the hallmarks of the relationship between a financial institution and its clients.

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