Search for: "Prudential Financial Inc."
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7 Feb 2009, 9:30 am
Last week I attended a function entitled, "Supporting Diversity in Government Contracting of Outside Legal Services: Challenges and Opportunities" held at the Association of the Bar of the City of New York.Participants on the various afternoon panels included Richard Meade, Chief Legal Officer of Prudential Financial Inc., and Paul Cellupica, Chief Counsel of Securities Regulation and Corporate Services at MetLife, 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]
20 Dec 2011, 7:02 am
Genworth Financial, Inc. and Sun Life Financial, Inc. both announced that they would no longer be involved in variable annuities sales. [read post]
30 Apr 2012, 10:11 am
At Blank Rome, Boggs this year lobbied for six organizations, including Prudential Financial Inc., SAP America Inc. and the National Association of Retail Collection Attorneys, according to congressional records. [read post]
23 May 2019, 2:00 pm
His other former employers include Morgan Stanley (CRD#: 149777), UBS Financial Services Inc. [read post]
7 Oct 2021, 12:18 pm
Inc. [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]
28 Aug 2015, 12:06 pm
He has also been registered with the GMS Group LLC, Spencer Clarke LLC, Broadband Capital Management LLC, Dalton Kent Securities Group, Bluestone Capital Partners, Gruntal & Co., Prudential Securities Inc., Oppenheimer & Co., Merill Lynch, Pierce, Fenner & Smith Co., Bear Stearns & Co. [read post]
28 Feb 2008, 3:05 pm
" Prudential Securities must pay an $800,000 fine, UBS Financial Services, Inc. was fined $750,000 and Pruco Securities was hit for $100,000 for improper sales of Class B and Class C mutual fund shares. [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph Buckman, Buckman & Reid, Inc … [read post]
2 Oct 2017, 7:59 am
On September 29, 2017, the Financial Stability Oversight Council (FSOC) formally lifted its designation of American International Group, Inc. [read post]
1 Jul 2019, 12:46 pm
Morgan Keegan & Company, Inc Avent, Meiewyn Alliance-One Investments, LLC Metlife Investors Distribution Company Bougopoulkos, Nicholas Wells Fargo Securities, LLC Stifel Financial Corp Cook, Marian Farmers Financial Solutions, LLC Corley, Robert Fidelity Brokerage Services LLC Redstone Securities, Inc Detamore, Craig Allstate Financial Services, LLC… [read post]
17 May 2019, 11:20 am
His previous employers include Prudential Securities Incorporated (CRD#:7471) of New York, NY, UBS Painewebber Inc. [read post]
8 Sep 2010, 11:45 am
The TMX Group Inc. issued a paper today providing its unique perspective on issues deriving from the financial crisis and discussing how the core competencies of a combined regulated exchange and clearing house are designed to meet G-20 objectives respecting improving over-the-counter (OTC) derivatives markets. [read post]
13 Jul 2010, 9:32 am
AETNA Inc. $24,263,282 40. [read post]
11 Jul 2018, 2:14 pm
The securities attorneys at Gana Weinstein LLP are investigating claims against Voya Financial Advisors Inc. [read post]
21 Mar 2008, 7:32 am
Prudential Financial Inc. [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]
1 Mar 2009, 4:31 am
downgraded the financial strength ratings of key subsidiaries of The Hartford Financial Services Group, Inc. from A+ (Superior) to A (Excellent). [read post]
