Search for: "MASSACHUSETTS DIVISION OF BANKS"
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7 Jan 2020, 8:08 am
By Jay Fishman, J.D.The Massachusetts Securities Division has proposed a fiduciary duty for broker-dealers, agents, investment advisers, and investment adviser representatives when they provide investment advice; recommend an investment strategy; open or transfer assets to any account type; or buy, sell or exchange any security, commodity or insurance product. [read post]
27 Sep 2019, 3:00 am
National/Federal Convictions Tossed Out Against Ex-Flynn Business Partner AP News – Michael Barakat | Published: 9/24/2019 A federal judge tossed out convictions against a one-time business partner of former national security adviser Michael Flynn who was accused of acting as a Turkish foreign agent. [read post]
18 Sep 2019, 9:52 pm
The PFI Report then becomes the basis used by the card brand companies to calculate potential fines that will be levied against the acquiring banks. [read post]
5 Sep 2019, 7:21 am
Royal Alliance Associates Inc FSC Securities Corp Woodbury Financial Services Inc Advisor Group In August 2018, the Massachusetts Securities Division was the first to launch its investigation of GPB Capital. [read post]
30 Aug 2019, 3:00 am
Trump’s Bank Has Tax Records Congress Is Seeking in Subpoenas Targeting the President’s Finances MSN – Ann Marimow (Washington Post) | Published: 8/27/2019 President Trump’s biggest lender has in its possession tax records Congress is seeking in targeting the president’s financial dealings, the bank to [read post]
21 Jun 2019, 1:15 pm
According to reports today, Massachusetts Securities Division is launching a sweep of businesses based in Massachusetts that are raising money from investments related to the marijuana industry. [read post]
18 Jun 2019, 7:24 am
The Massachusetts Securities Division is soliciting public comments from which to propose a fiduciary standard for broker-dealers, agents, investment advisers and investment adviser representatives when they make investment recommendations and provide investment advice. [read post]
17 Jun 2019, 12:07 pm
” The event will include a panel discussion featuring Andrew Wilson, Executive Director of the Center for International Private Enterprise (CIPE); Valentina Saltane, Private Sector Development Specialist at the World Bank; and Matthew Murray, Adjunct Professor of International and Public Affairs at Columbia University. [read post]
21 May 2019, 8:34 am
The Massachusetts Securities Division has charged former investment adviser, Bruce Colin Worthington, with allegedly withdrawing $100,000 from a client’s bank account. [read post]
8 Feb 2019, 1:54 pm
The Claimant was a former Senior Vice President in the bank’s regulated broker-dealer division. [read post]
7 Feb 2019, 3:03 pm
Date Name Amount Jan. 2018 Filefax, Inc (settlement) $ 100,000 Jan. 2018 Fresenius Medical Care North America (settlement) $ 3,500,000 June 2018 MD Anderson (judgment) $ 4,348,000 Aug. 2018 Boston Medical Center (settlement) $ 100,000 Sep. 2018 Brigham and Women’s Hospital (settlement) $ 384,000 Sep. 2018 Massachusetts General Hospital (settlement)… [read post]
24 Jan 2019, 1:16 pm
Massachusetts Regulator Files Charges Against Royal Alliance and Its Investment Adviser The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth has filed civil charges accusing Royal Alliance Associates and investment adviser Steven F. [read post]
22 Jan 2019, 11:31 am
He spent his 1L summer in the anti-money laundering division of the Central Bank of the Philippines and his 2L summer at Latham & Watkins LLP in its Century City and Los Angeles offices. [read post]
15 Jan 2019, 6:51 pm
Lambert spoke to the issue of division of authority over the machinery of politics in the United States; those insights and perspectives may be useful going forward in considering the division of authority among the political and judicial branches over governance modalities that the American founding generation might not have recognized. [read post]
7 Jan 2019, 2:35 pm
In addition to California and New York, there also have been Section 11 lawsuits filed in state courts in Colorado, Texas, Massachusetts, and Tennessee, among other states. [read post]
5 Nov 2018, 2:23 pm
While the state’s Division of Banks (DOB) and the state’s Attorney General (AG) have traditionally regulated, respectively, third-party debt collectors and first-party creditors, the AG is reported to have changed its website recently to include third-party debt collectors as entities that it regulates. [read post]
18 Oct 2018, 9:00 pm
Massachusetts was one of the first states to adopt an optional board-level representation law. [read post]
18 Sep 2018, 11:53 am
He spent his 1L summer in the anti-money laundering division of the Central Bank of the Philippines and his 2L summer at Latham & Watkins LLP in its Century City and Los Angeles offices. [read post]
23 Jul 2018, 10:39 pm
Infinex is majority-owned by a group of nearly 40 banks that offer securities on bank premises and has selling agreements with approximately 30 banks in Massachusetts. [read post]
20 Jul 2018, 12:32 pm
Infinex offers securities on bank premises and has selling agreements with approximately 30 banks in Massachusetts. [read post]
