Search for: "Capital One Financial Services"
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17 Apr 2019, 1:23 pm
National Financial Services, which is owned by Fidelity, is one of the largest clearing and custodial firms in the world. [read post]
16 Jul 2020, 7:28 am
Additionally, since January 2019 the government has been trying to get two major taxes passed: the so-called Google tax (a 3 percent digital services tax) and the financial transaction tax (FTT). [read post]
26 Jul 2012, 5:16 am
In addition to the amount paid for the add-on feature, the order requires Capital One to refund cardholders for associated finance charges or any over-the-limit fees resulting from the services. [read post]
15 May 2020, 7:49 am
According to a BrokerCheck report one of the customer complaints appears to concern fraudulent GPB Capital Holdings (GPB Capital) related investments. [read post]
29 Jun 2016, 4:27 pm
If the Federal Reserve objects to a capital plan, a firm may not make any capital distribution unless expressly authorized by the Federal Reserve….The Federal Reserve did not object to the capital plans of Ally Financial, Inc.; American Express Company; BancWest Corporation; Bank of America Corporation; The Bank of New York Mellon Corporation; BB&T Corporation; BBVA Compass Bancshares, Inc.; BMO Financial Corp.; Capital One… [read post]
16 Nov 2014, 9:01 pm
An expenditure just needs to meet one of the three standards to be classified as a capital expense. [read post]
29 Jan 2016, 9:01 am
One of the main issues facing financial advisors who sell funds and master-limited partnerships is suitability. [read post]
12 Jan 2011, 2:51 pm
"We want Ivize to be the preferred one-stop local supplier for the entire spectrum of data discovery services," added Self. [read post]
12 Jan 2011, 2:51 pm
"We want Ivize to be the preferred one-stop local supplier for the entire spectrum of data discovery services," added Self. [read post]
29 Jan 2017, 10:53 am
According to brokercheck records Glime has been subject to three customer complaints, one criminal matter, three judgments or liens, one employment termination for cause, and one regulator action. [read post]
22 Mar 2015, 6:05 am
Editor's Note: The following post comes to us from Dan Ryan, Leader of the Financial Services Advisory Practice at PricewaterhouseCoopers LLP, and is based on a PwC publication by Mike Alix, Steve Pearson, and Armen Meyer. [read post]
15 Aug 2013, 12:48 pm
Third, the largest financial holding companies would be restructured so that every one of their corporate entities is subject to a speedy bankruptcy process.Former FDIC Chair Bair. [read post]
30 Jan 2008, 6:07 am
Well, I submit as Exhibit A an opinion piece in the Financial Times by Luke Johnson, chairman of UK’s Channel 4 and founder of Risk Capital Partners, a private equity firm. [read post]
17 Nov 2011, 10:10 pm
The economists say financial risk increases when debt financing is used, and since it must be repaid, there is another risk that operating receipts will be insufficient to pay the debt service and retire the debt. [read post]
20 Dec 2016, 7:01 am
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
8 Oct 2012, 9:46 am
On October 3, 2012 the SEC charged Chicago-based registered investment adviser, GEI Financial Services, Inc. [read post]
12 Nov 2019, 7:37 am
SSEK Investigating Ladenburg Thalmann & Triad Advisors Over GPB Capital Investor Claims In its quarterly report to the US Securities and Exchange Commission (SEC), Ladenburg Thalmann Financial Services notes that one of its brokerage firms, Triad Advisors, is the subject of six Financial Industry Regulatory Advisory (FINRA) arbitration complaints by customers seeking $1.65M in damages after the firm’s brokers sold them GPB private… [read post]
14 Jan 2012, 3:01 pm
It has been replaced by other sectors including and perhaps infamously, the financial services sector described by the term financialization. [read post]
7 Sep 2018, 7:38 am
Now, Massachusetts Financial Services must pay a $1.9M penalty. [read post]
21 Apr 2016, 11:12 am
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
