Posts tagged with: "financial+services"
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23 Jan 2017, 10:06 am by Fitapelli Kurta
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 18, 2017 indicate that Georgia-based Suntrust Investment Services broker/adviser Todd Thompson has been the subject of customer complaints. [read post]
23 Jan 2017, 10:02 am by Quinta Jurecic
Event Announcements (More details on the Events Calendar) Tuesday, January 24th, at 9am:  In a panel discussion at the Brookings Institution, experts will discuss U.S. [read post]
23 Jan 2017, 10:01 am 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]
23 Jan 2017, 10:00 am by The Sader Law Firm
Complaints to the Department of Education, PHEAA and Consumer Financial Protection Bureau (CFPB) did nothing to remedy the situation. [read post]
23 Jan 2017, 9:01 am by Fitapelli Kurta
Previous registrations include Fortune Financial Services in La Quinta, California; NFP Advisor Services in La Quinta, California; Commonwealth Financial Network in La Quinta, California; and Merrill Lynch in New York, New York. [read post]
23 Jan 2017, 9:00 am
Glickstein has worked with communities to expand economic opportunities for nearly 20 years and recently served as the Executive Director of New York City’s Office of Financial Empowerment, the first municipal office in the country focused on creating innovative financial products, programs and services to enable asset building and wealth creation for low income New Yorkers and neighborhoods. [read post]
23 Jan 2017, 8:56 am by Kevin S. Little
Background Financial recoveries obtained from the Federal Government’s fraud and abuse program are used to protect the financial solvency of Medicare. [read post]
Going Public LawyerOn December 23, 2016, the United States District Court for the District of Massachusetts entered final judgments against Graduate Leverage, LLC, GL Capital Partners, LLC, GL Investment Services, LLC, Taft Financial Services, LLC, and GL Advisor Solutions, Inc. [read post]
23 Jan 2017, 6:49 am by chapter11cases
The case number and the debtor’s name/adversary complaint plaintiff(s) and defendant(s) are: 17-00030 Western Union Financial Services, Inc. v. [read post]
23 Jan 2017, 6:49 am by chapter11cases
The case number and the debtor’s name/adversary complaint plaintiff(s) and defendant(s) are: 17-00030 Western Union Financial Services, Inc. v. [read post]
23 Jan 2017, 6:49 am by chapter11cases
The case number and the debtor’s name/adversary complaint plaintiff(s) and defendant(s) are: 17-00030 Western Union Financial Services, Inc. v. [read post]
23 Jan 2017, 5:14 am by Joshua Horn
On March 1, New York will go live with cybersecurity rules for financial service providers such as banks, insurance companies and others subject to the Department of Financial Services’ jurisdiction. [read post]
23 Jan 2017, 4:30 am by Tom Kosakowski
An article recently last week on Mediate.com urges the development of Ombuds programs in response to the recurring ethical crises in the U.S. financial services industry. [read post]
23 Jan 2017, 4:00 am by Administrator
A recent report from Deloitte, commissioned by the Ontario Centres of Excellence (OCE) and the Toronto Financial Services Alliance (TFSA), suggests that Southern Ontario is perfectly positioned to become a global hub for cybersecurity startups. [read post]
23 Jan 2017, 3:05 am by NCC Staff
The Congressional Research Service traces the phrase “lame duck” to the British during the Colonial era, when it was used to describe businessmen who had financial troubles and who resembled wounded game birds. [read post]
23 Jan 2017, 3:00 am by John Jenkins
Accordingly, the Priebus Memo means little for the financial sector, because most financial regulatory agencies—including the CFTC, FDIC, Federal Reserve, OCC, SEC and, at least for the meantime, the CFPB—are treated as independent agencies. [read post]
23 Jan 2017, 2:39 am
Xavier Pons Rafols, Spain in the United Nations: Sixtieth Anniversary Francisco Aldecoa Luzárraga, Spain’s contribution to the advancement and consolidation of the European political union Agora: The extraterritorial application of EU LawMontserrat Abad Castelos & Laura Carballo Piñeiro, An introduction by the guest co-editors of the Agora Carmen Pérez González, On Transparency, Good Governance and the Fight against Corruption: Some Lessons (and Questions) from… [read post]
23 Jan 2017, 2:10 am by Jared Correia
Establish a budget to get a handle on your overhead and it will more effectively inform every financial decision you make about your law firm. [read post]