Search for: "PROVIDENCE MUTUAL"
Results 141 - 160
of 15,374
Sorted by Relevance
|
Sort by Date
19 Aug 2020, 4:00 am
Without admitting or denying FINRA’s findings, Western International Securities was censured, fined $75,000, required to provide remediation to eligible customers who did not receive applicable mutual fund sales charge waivers and agreed to pay restitution to the customers in the amount of $375,000. [read post]
11 Jul 2013, 10:00 pm
However it would appear that such a payment could be authorized by the contract regardless of the amount of service, in an amount mutually agreed upon. [read post]
28 Oct 2014, 2:56 pm
The Court noted that Alltel had reserved for itself a protection that was not extended to the customer: Succinctly put, Alltel provided itself with an “out” to the required arbitration; Alltel customers, such as Rosenow, however, were limited to pursuing relief against Alltel in the form of arbitration, while Alltel alone was provided absolution if it chose to pursue an alternate remedy. [read post]
21 Oct 2011, 11:27 am
WASHINGTON — The Office of the Comptroller of the Currency (OCC) has established advisory committees to provide perspectives to the agency on the unique challenges and needs of minority depository institutions and mutual savings associations, the OCC announced today. [read post]
22 Jul 2010, 9:12 am
The Securities and Exchange Commission (SEC) yesterday announced proposals intended to improve the regulation of mutual fund distribution fees and provide enhanced disclosure for investors. [read post]
27 May 2009, 3:11 pm
On May 27, the SEC settled charges against investment adviser New York Life Investment Management LLC (NYLIM) for failing to provide the Board of the Mainstay Equity Index Fund (Equity Index Fund), a mutual fund NYLIM advises, with information during... [read post]
29 May 2012, 9:48 am
Mutual Phamaceutical Co., Inc. [read post]
4 Sep 2009, 7:45 am
Liberty Mutual alleges to have standing as being a member of the pool. [read post]
11 Oct 2019, 6:09 am
Mutual defense treaties usually contain clauses mandating coordination among the parties to the treaty. [read post]
18 Feb 2022, 9:15 am
Investment Management Company Reportedly Fined for High Mutual Fund Fees appeared first on The White Law Group. [read post]
19 Aug 2020, 4:00 am
Without admitting or denying FINRA’s findings, Western International Securities was censured, fined $75,000, required to provide remediation to eligible customers who did not receive applicable mutual fund sales charge waivers and agreed to pay restitution to the customers in the amount of $375,000. [read post]
27 Feb 2017, 8:49 am
The foregoing information, which is all publicly available, is being provided by The White Law Group. [read post]
8 Apr 2010, 11:07 am
Specifically, Plaintiffs allege that Medical Mutual “acted to delay, diminish and deny payment of . . . lawful claims of patient-insureds as submitted by out-of-network health providers . . . through a scheme or artifice, utilizing the U.S. [read post]
4 Mar 2009, 12:11 am
During the discussion, the staff of the NYSID walked the delegation through the mutual insurance company licensing process.The planned mutual municipal bond insurer would provide credit enhancement for municipal debt issuances in the same way as traditional for-profit monoline municipal bond insurers, but would avoid entering into the type of credit default swaps whose obligations have decimated the credit ratings of leading monoline municipal bond insurers. [read post]
28 Nov 2011, 10:11 pm
The question you have to evaluate is whether refusing to provide a mutual release is worth this risk. [read post]
8 Nov 2021, 1:27 pm
In other words, mutual intent to comply with the ESA – by itself – cannot always save a termination clause depending on the circumstances.[3] When the enforceability of a termination clause is at issue, employers with sophisticated employees would therefore be wise to exercise caution when assessing mutual intent and its surrounding circumstances. [read post]
11 Apr 2013, 9:44 am
For will contest lawyers in Tennessee, this opinion provides clarity about the statutes of limitations applicable in cases involving mutual wills. [read post]
15 Jul 2007, 10:32 am
SEC to Propose Mutual Recognition of Foreign Exchanges and BrokersAgainst the backdrop of continuing cross-border exchange mergers, Chairman Cox has directed the SEC staff to develop a proposal regarding the mutual recognition of foreign exchanges and brokers by this Fall. [read post]
23 Mar 2023, 7:20 am
The post China Employee Terminations: Make Them Mutual When Possible appeared first on Harris Bricken Sliwoski LLP. [read post]
17 Apr 2012, 7:56 am
“Very few mutual fund service providers are experienced in servicing hedge fund managers. [read post]
