Search for: "Prudential Financial Inc."
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14 Sep 2017, 1:33 pm
See earlier post on Lucinda Vine and Kristy Pond v PLS Financial Services, Inc. and PLS Loan Store of Texas, Inc., No. 16-50847 (5th Cir. [read post]
22 Aug 2017, 9:10 am
The First Marblehead Data Services, Inc., The Prudential Tower, 800 Boylston Street - 34th Floor, Boston, MA 02199-8157. [read post]
14 Aug 2017, 2:14 pm
Tuesday’s extension comes after the Fed and FDIC granted a living will extension last month to American International Group Inc. and Prudential Financial Inc., two nonbank companies that have been designated systemically important financial institutions by the Financial Stability Oversight Council and are subject to extra oversight. [read post]
27 Jul 2017, 7:13 am
Anthony Ferrone Barred for Allegations of Unsuitable trading According to reports, The Financial Industry Regulatory Authority Inc. has barred former Morgan Stanley broker Anthony Ferrone from the securities industry due to allegations he engaged in unsuitable trading of unit investment trusts in clients’ accounts. [read post]
17 Jul 2017, 11:33 pm
I, Inc. [read post]
10 Jul 2017, 2:28 pm
(AIG) and Prudential Financial, Inc. to submit their next resolution plans from December 17, 2017 to December 18, 2017. [read post]
28 Jun 2017, 11:08 am
He also gave several examples of ways Congress could address the “overlap” between the CFPB and prudential regulators for supervision of financial institutions with over $10 billion in assets, such as returning examination and supervision authority for banks to the prudential regulators, still leaving supervision of nonbank financial companies to the CFPB. [read post]
28 Jun 2017, 11:08 am
He also gave several examples of ways Congress could address the “overlap” between the CFPB and prudential regulators for supervision of financial institutions with over $10 billion in assets, such as returning examination and supervision authority for banks to the prudential regulators, still leaving supervision of nonbank financial companies to the CFPB. [read post]
19 May 2017, 12:23 pm
See Mack Trucks, Inc. v. [read post]
19 Mar 2017, 12:54 pm
Joe Davis, Project Consultant, Prudential Financial, Inc. [read post]
9 Feb 2017, 4:18 am
In May 1996, Prudential permitted Tinder to resign from his position alleging that he failed to supervise agents. [read post]
9 Feb 2017, 4:18 am
In May 1996, Prudential permitted Tinder to resign from his position alleging that he failed to supervise agents. [read post]
27 Dec 2016, 10:41 am
Wills Provided to UBS/TER Technology/Chemtura/Anderol Inc. [read post]
28 Nov 2016, 4:11 pm
Texas Keystone, Inc. et al. can be found here. [read post]
15 Aug 2016, 9:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:In an unprecedented announcement, FINRA fined Prudential Annuities Distributors, Inc. [read post]
Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme
15 Aug 2016, 12:00 am
In a Press Release dated Tuesday, July 19, 2016, the Financial Industry Regulatory Authority (FINRA) announced a finding against Prudential Annuities Distributors, Inc. for failing to detect forged variable annuity withdrawal requests from a Prudential Annuities variable annuity customer. [read post]
1 Aug 2016, 7:45 am
., an annuity unit of Prudential Financial Inc., two of the largest variable annuity product manufacturers have announced the closure of L-share sales in certain variable annuities. [read post]
20 Jul 2016, 10:18 am
The Financial Industry Regulatory Authority (FINRA) announced on July 19, 2016 in a News Release that it had fined Prudential Annuities Distributors, Inc. $950,000 for “failing to detect and prevent a scheme that resulted in the theft of approximately $1.3 million from an 89-year-old customer’s variable annuity account. [read post]
4 Jun 2016, 8:23 am
(Pix © Larry Catá Backer 2016)On April 12, 2016, the Supreme People's Court circulated its Provisions of the Supreme People's Court on Certain Issues Concerning the Application of the "Company Law of the People's Republic of China" (IV) (Draft for Comments) (最高人民法院关于适用〈中华人民共和国公司法〉… [read post]
5 May 2016, 8:25 am
On April 14, 2016, the International Swaps and Derivatives Association, Inc. [read post]
