Posts tagged with: "financial+services"
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24 Feb 2017, 8:15 pm by lawmrh
Because HB2295 separates the State Bar’s regulatory and disciplinary functions from the State Bar’s trade association services and activities, it improves the protection of the public from lawyers who violate the canons of professional ethics. [read post]
24 Feb 2017, 4:30 pm by BuckleySandler
On February 16, New York Governor Andrew Cuomo announced that with the New York Department of Financial Services’ (NYDFS) publication of a Final Regulation, New York’s “First-in-the-Nation Cybersecurity Regulation” is set to take effect on March 1. [read post]
24 Feb 2017, 1:46 pm by Bruce Thomas
Stay independent – While we had material support from our two Law Schools, and an ARC start-up grant, we tried from the start to be financially independent of any single source. [read post]
24 Feb 2017, 11:44 am by Fitapelli Kurta
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 20, 2017 indicate that Florida-based Ameriprise Financial Services broker/adviser Douglas Schrager has been the subject of customer disputes. [read post]
24 Feb 2017, 11:28 am by Fitapelli Kurta
Gregory Teese has spent 25 years in the securities industry and has been registered with Sentinel Financial Services in Montpelier, Vermont since 1993 and with Equity Services in Montpelier, Vermont since 1991. [read post]
24 Feb 2017, 11:25 am by BuckleySandler
” The Consumer Advisory Board provides information and recommendations concerning the Bureau’s policy development, rulemaking, and enforcement functions, including on “emerging practices in the consumer financial products or services industry, including regional trends, concerns, and other relevant information. [read post]
24 Feb 2017, 10:54 am by David M. Ward
Even if their client or contact doesn’t know anyone who needs the lawyer’s services, they know people who know people who do. [read post]
24 Feb 2017, 10:53 am by Andrew Stoltmann
According to a recent Disciplinary Report by the Financial Industry Regulatory Authority (FINRA), Thomas Vilord, a former Summit Brokerage Services broker was barred from the industry. [read post]
24 Feb 2017, 10:37 am by Kari Larsen and David Krone
Lender license requirements recently included in the New York governor’s proposed 2017-2018 budget would expand the jurisdiction of the New York State Department of Financial Services (NYDFS) to cover many financial technology (FinTech) credit-lending companies that are currently exempt from license requirements. [read post]
24 Feb 2017, 10:11 am by Minick Law
However, in the long run, dabbling will yield low financial returns. [read post]
24 Feb 2017, 9:51 am
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
24 Feb 2017, 8:15 am by Michael B. Stack
The guaranteed income replacement, college payments and benefits that cover medical needs help to provide the financial security and peace of mind that is so important to people that have suffered a loss. [read post]
24 Feb 2017, 6:42 am by Fitapelli Kurta
Previous registrations include LPL Financial in Colorado Springs, Colorado; Merrill Lynch in Colorado Springs, Colorado; UBS Financial Services in Weehawken, New Jersey; and AG Edwards & Sons in St. [read post]
24 Feb 2017, 6:17 am by Harriet Pearson and Paul Otto
As Hogan Lovells previously reported, the New York State Department of Financial Services (NYDFS) has launched a significant initiative to impose detailed cybersecurity requirements on covered financial institutions. [read post]
24 Feb 2017, 6:00 am by Staff Report
As a State Bar member, you have access to products and services to help you get on the road to financial success. [read post]
24 Feb 2017, 6:00 am by Christopher G. Hill
A financial advisor that not only verifies your book-keeper but lets you know of other changes coming down the pike adds another layer. [read post]