Search for: "Capital One Financial Services"
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23 Dec 2009, 12:49 pm
Joseph Karl Grant (Capital University School of Law) has posted What the Financial Services Industry Puts Together Let No Person Put Asunder: How the Financial Services Modernization Act of 1999 - The Gramm-Leach-Bliley Act - Contributed to the 2008-2009 American Capital Markets Crisis (Albany Law Review, 2010) on SSRN. [read post]
25 Jul 2019, 1:23 pm
National Financial Services, which is Fidelity Investments’ clearing and custody unit, has given its brokerage firm clients 90 days to get rid of all GPB Capital Holdings private placements from its platform. [read post]
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
7 Jul 2009, 6:44 am
UK Financial Services Secretary Criticizes EU Fund Manager Directive ProposalPaul Myners, the UK Financial Services Secretary to the Treasury, said that European Commission's Alternative Investment Fund Managers draft directive is a "flawed" document that requires "major surgery. [read post]
10 Jun 2021, 2:10 am
If you are a financial service employee, such as a broker, investment advisor, wealth manager, capital acquisition broker, work with funding portals or provide similar services, you are mostly likely subject to rules and regulations governed by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Jul 2012, 11:55 am
The action against Capital One alleged that the credit card giant contracted with vendors who deceptively marketed add-on services, including credit monitoring and payment protection plans, often to Capital One’s most vulnerable customers. [read post]
5 Nov 2009, 11:10 am
House Financial Services Committee Passes Legislation Reforming SEC, PCAOB and SIPC OversightThe House Financial Services Committee has passed legislation reforming the SEC to strengthen its powers, better protect investors, and efficiently and effectively regulate the securities markets. [read post]
14 Mar 2011, 6:30 pm
The Financial Services Committee has received testimony regarding the role private equity firms play in preserving existing jobs and creating new ones by providing capital to struggling and growing companies. [read post]
22 Jul 2014, 11:57 pm
The proposed no-fault pact would require Capital One Bank (USA) NA, Capital One NA, Capital One Financial Corp., Capital One Services LLC, Capital One Services II LLC – along with three other defendants-to pay the “largest settlement cash sum-by far-in the 22-year history of the TCPA – $75,455,098.74 – into a settlement fund,” the plaintiffs said… [read post]
9 Dec 2022, 7:31 am
These “Edinburgh Reforms” follow on from the Chancellor’s Autumn Statement in which he highlighted financial services as one of the UK’s five key growth sectors. [read post]
29 Sep 2022, 6:15 am
Nelson, J.D.House Financial Services Committee Ranking Member Patrick McHenry (R-NC) issued a draft of what would likely be a key part of the House GOP’s capital markets agenda for the 118th Congress. [read post]
19 Feb 2010, 11:10 am
I agree with the WTO Secretariat that WTO financial services commitments played little, if any, role in the financial crisis. [read post]
26 Oct 2011, 10:49 am
With strong bi-partisan support building for crowdfunding legislation and the President calling for this form or capital raising, the full House Financial Services Committee approved legislation sanctioning crowdfunding to finance new businesses by allowing companies to accept and pool donations of up to $1 million, or $2 million in some cases, without registering with the SEC. [read post]
10 Nov 2023, 2:00 am
No. 969-A, which requires the Department of Small Business Services to provide information on local community development financial institutions on the city’s one-stop shop business services portal. [read post]
30 Apr 2019, 10:35 am
The Plaintiffs are Trump, his three oldest children, Donald Trump Jr., Eric Trump and Ivanka Trump, and several businesses that use Deutsche Bank and Capital One financial services. [read post]
4 Dec 2019, 5:52 am
Schwinn, UIC John Marshall Law School The Second Circuit ruled that Deutsche Bank and Capital One have to comply with subpoenas issued by the House Financial Services and Permanent Select Committee on Intelligence for financial records related to... [read post]
2 Aug 2012, 11:02 am
The SCRA provides financial protection to active duty servicemembers whose ability to pay is impacted by their service to our country. [read post]
9 Nov 2020, 1:39 pm
Smith is one of a number of Concorde Investment Services brokers who sold this alternative asset firm’s private placements to customers. [read post]
9 Feb 2023, 7:12 am
In early 2022, the EU and UK banned certain financial services. [read post]
4 Apr 2023, 4:08 am
Last month, the Subcommittee on Capital Markets of the House Financial Services Committee held a hearing entitled “U.S. [read post]
