Posts tagged with: "financial+services"
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27 May 2016, 5:30 am by Hollander Law Firm
Now, records from the state’s Department of Financial Services show officials picked an outside research firm to investigate the effect that nixing no-fault will have. [read post]
27 May 2016, 5:25 am by Walter Olson
There has been much coverage of the revelation that Peter Thiel has funded Hulk Hogan’s lawsuit against Gawker behind the scenes, especially following the Silicon Valley figure’s acknowledgment that he views taking down the notoriously scurrilous publisher as a public service (“one of my greater philanthropic things that I’ve done”) and has sought out and funded other litigants besides Hogan in order to make that happen. [read post]
27 May 2016, 5:00 am by Doug Cornelius
While the financial services world is regulated by both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) they have specific regulations requiring companies they regulate to have anti-money laundering (AML) compliance programs, the FCPA does not have any such requirements, either written directly into the statute or by interpretation therefrom. [read post]
27 May 2016, 1:00 am by Gerrid
They allow you to provide financially for your loved ones, and receive medical treatments or rehabilitative services, so that you can get back on your feet. [read post]
27 May 2016, 12:02 am by Gerald A. Maggio, Esq.
While you do pay for the mediation services of the independent mediator, this is often less expensive than having multiple meetings with your divorce attorneys to iron out the same issues. [read post]
26 May 2016, 6:09 pm by Barbara S. Mishkin
The CFPB had indicated that the purpose of the Qualitative Consumer Education Generic Clearance was “to develop a deeper understanding of effective financial education and empowerment strategies. [read post]
26 May 2016, 2:56 pm by Fitapelli Kurta
Previous registrations include Bancwest Investment Services in San Francisco, California (2010-2012); Merrill Lynch in San Mateo, California (2009-2010); Citicorp Investment Services in San Francisco, California (2002-2007); and Morgan Stanley DW in Purchase, New York (2000-2002). [read post]
26 May 2016, 2:41 pm by Fitapelli Kurta
Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 24, 2016 indicate that former New York-based Alexander Capital broker Peyton Jackson is currently not licensed to act as a broker or an investment adviser. [read post]
26 May 2016, 1:55 pm by Jeremy Malcolm
" Meanwhile the United States, suffering blowback from its financial services industry over the exclusion of that sector from the Electronic Commerce chapter in the Trans-Pacific Partnership (TPP), notes, "The possible applicability of this Article to financial services is under consideration. [read post]
26 May 2016, 12:56 pm
Detter and Malone both agreed to a suspension from the financial services industry for a minimum of two years for Detter and one year for Malone. [read post]
26 May 2016, 12:17 pm by Giles Peaker
An understanding of the legal and financial issues that council homeowners may face. [read post]
26 May 2016, 12:05 pm by Cynthia Marcotte Stamer
Health plans and health insurers, health care providers, healthcare clearinghouses (Covered Entities) and their business associates should verify that their copying charges and other policies and practices for responding to requests of individuals for copies and other access to protected health information (PHI) comply with the Privacy and Security Rules (Privacy Rule) of the Health Insurance Portability & Accountability Act of 1996 (HIPAA) as construed in a new Frequently Asked Question (FAQ… [read post]
26 May 2016, 11:35 am by rexsecuritieslaw
Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and 3 outstanding judgement/liens. [read post]
26 May 2016, 11:14 am by Glenn Reynolds
Any foreign intelligence service worth its salt would have had no trouble accessing Ms. [read post]
26 May 2016, 11:00 am
” The increase in direct financial assistance is part of more than $750 million in annual energy investments by the state on behalf of low-income New Yorkers. [read post]
26 May 2016, 10:00 am by Fitapelli Kurta
Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 23, 2016 indicate that former Illinois-based JP Morgan broker Tony Ogbonna is currently not registered with any state or firm. [read post]
26 May 2016, 9:44 am by Fitapelli Kurta
In August 2015, the Internal Revenue Service filed a tax lien totaling $210,273.35 against Christopher Tolmacs. [read post]