Posts tagged with: "financial+services"
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4 May 2016, 2:11 pm by Fitapelli Kurta
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2016 indicate that Minnesota-based Woodbury Financial Services broker/adviser Jon Nicholson has been the subject of a customer complaint. [read post]
4 May 2016, 1:52 pm by Fitapelli Kurta
(LIQD) Liquid Holdings Group is a “cloud-based technology and managed services provider to the global hedge fund and active trading markets,” according to the company’s website. [read post]
4 May 2016, 1:42 pm by Fitapelli Kurta
Previous registrations include Citigroup Global Markets in New York, New York (2006-2009); UBS Financial Services in New York, New York (2000-2006); CIBC World Markets in New York, New York (1994-2000); and Lehman Brothers in New York, New York (1993-1994). [read post]
4 May 2016, 1:28 pm by Fitapelli Kurta
Previous registrations include JP Morgan Securities in Chicago, Illinois; UBS Financial Services in Chicago, Illinois; Morgan Stanley & Company in Chicago, Illinois; Morgan Stanley DW in Chicago, Illinois; Prudential Securities in New York, New York; Matthews Holmquist & Associates; Heartland Investment Associates in Hiawatha, Iowa; Dickinson & Company, which has since been expelled by FINRA, in Des Moines, Iowa; Berthel Fisher & Fleischman Financial… [read post]
4 May 2016, 12:31 pm by William D. Kickham, Esq.
Probation supervision fees may sometimes be converted into community work service, depending on the facts of the case. [read post]
4 May 2016, 11:52 am by Barbara S. Mishkin
  The FFIEC states that the proposed revisions “were not developed to set new or higher supervisory expectations for financial institutions and their adoption will represent no additional regulatory burden. [read post]
4 May 2016, 11:08 am by Len Feltoon
We also guarantee the best member services possible. [read post]
4 May 2016, 10:50 am by rexsecuritieslaw
Houston , Texas Rex Securities Law is investigating VSR Financial Services broker Keith Allen Bradley  (dba Reserve Management Financial Services)  in connection with the sale of alternative investments  to several retired persons in Houston, Texas. [read post]
4 May 2016, 9:45 am by Marsha Tesar
To help prevent this, a coalition of state securities regulators is proposing a model state law that would require financial advisers — including brokers at large investment houses and independent advisers and their supervisors — to report suspected elder financial fraud to both a state securities regulator and an adult protective-services agency. [read post]
4 May 2016, 8:10 am by Healthlaw
  Patient centered medical home models can also qualify as an APM, even if they do not meet the financial risk criteria. [read post]
4 May 2016, 7:00 am by admin
  Rather than look to helping the country out of its financial mire, the Orthodox Church has stoutly defended its many tax relief privileges and the lack of transparency of its records that help keep from view the extent of it [read post]
4 May 2016, 6:58 am by David Posner
The question, then, is whether and how the court will balance the class members’ interests in the transparency of the information important to assessing the potential value of their claims against Uber’s interest in maintaining the secrecy of its financial data. [read post]
4 May 2016, 6:51 am by Steve Parker
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
3 May 2016, 10:01 pm by News Desk
Mississippi did open a new $36 million public health laboratory in January, replacing a facility that went into service in 1959. [read post]
3 May 2016, 7:52 pm by FDABlog HPM
  Under section 1128(b)(7) of the Social Security Act (the “Act”), the Office of the Inspector General (OIG) of the Department of Health and Human Services may exclude any individual or entity (collectively “person”) that has engaged in conduct described in section 1128A or 1128B of the Act. [read post]
3 May 2016, 3:50 pm by Mark Paulding
The VPPA applies to information collected from “any renter, purchaser or subscriber of goods or services from a video tape service provider. [read post]
3 May 2016, 2:51 pm by Rebecca Tushnet
  ISPs and sites—sites are (c) and (d), very different from (a) service providers. [read post]
3 May 2016, 2:40 pm by Elliot Harmon
The Consumer Financial Protection Bureau is expected to release a similar proposal this month affecting banks’ contracts. [read post]
3 May 2016, 9:56 am by Barbara S. Mishkin
Mishkin Alan Kaplinsky, who leads Ballard Spahr’s Consumer Financial Services Group, has been asked by the CFPB to testify as an industry representative at the CFPB’s May 5 field hearing on arbitration. [read post]
3 May 2016, 9:55 am by Alan S. Kaplinsky and Mark J. Levin
  Neither the CFPB nor Professor Sovern have determined how such cases will be resolved if the result of the CFPB’s rule is the abandonment of consumer arbitration by consumer financial services providers. [read post]