Posts tagged with: "financial+services"
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23 Sep 2016, 8:54 am by Jeff Kern and Christopher Bosch
If the New York State Department of Financial Services (“DFS”) has its way, come January 1, 2017, financial services companies that require a form of authorization to operate under the banking, insurance, or financial services laws (“Covered Entities”) will be required to comply with a new set of comprehensive cybersecurity regulations aimed at safeguarding information systems and nonpublic information. [read post]
23 Sep 2016, 8:39 am by Fitapelli Kurta
According to his BrokerCheck report, Kevin Larkin was discharged from his position at UBS Financial Services in Weehawken, New Jersey. [read post]
23 Sep 2016, 8:34 am by Fitapelli Kurta
Previous registrations include Morgan Stanley in Florham Park, New Jersey; Wells Fargo Advisors in Florham Park, New Jersey; UBS Financial Services in Weehawken, New Jersey; Salomon Smith Barney in New York, New York; and Lehman Brothers in New York, New York. [read post]
23 Sep 2016, 8:27 am by Fitapelli Kurta
Jeffrey Sims has spent 16 years in the securities industry and has been registered with KMS Financial Services in Seattle, Washington since 2013. [read post]
23 Sep 2016, 7:44 am by Fitapelli Kurta
For these reasons, it is essential that investors seeking to recover damages make use of the services of a knowledgeable securities attorney. [read post]
23 Sep 2016, 7:30 am by Glenn Reynolds
Higher pension costs could come at the expense of funding for other needs, including social services, infrastructure investments and education programs. [read post]
23 Sep 2016, 7:21 am by Fitapelli Kurta
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that New York-based Morgan Stanley broker Socrates Cruz has received a customer complaint. [read post]
23 Sep 2016, 7:15 am by Fitapelli Kurta
Previous registrations include LPL Financial in Danbury, Connecticut; UVest Financial Services Group in Danbury, Connecticut; Raymond James Financial Services in Danbury, Connecticut; Infinex Investments in Meriden, Connecticut; Painewebber Incorporated in Weehawken, New Jersey; Charles Schwab & Company in San Francisco, California; First Union Brokerage Services in Weehawken, New Jersey; Marketing One Securities in Portland, Oregon; GNA… [read post]
23 Sep 2016, 6:46 am by Jim Sedor
Although prosecutors were seeking more than two years in federal prison, Jesse Benton and John Tate were sentenced to two years’ probation and six months of home confinement, along with community service and a $10,000 fine. [read post]
23 Sep 2016, 6:46 am by Clif Burns
Over the next several weeks, it is likely that anyone anywhere in the world named Paul Davis will confront a financial nightmare as banks, credit card companies and anyone else with screening software will deny them loans, seize their credit card payments, cancel their leases, and otherwise muck up any financial transactions in which they are involved. [read post]
23 Sep 2016, 6:25 am by Joe Kristan
You will be directed through the Secure Access process, which includes identity proofing, financial verification and mobile phone verification. [read post]
23 Sep 2016, 6:24 am by Chris Mirasola
  United States The House Armed Services Subcommittee on Seapower and Projection Forces heard testimony from Dr. [read post]
23 Sep 2016, 5:01 am by James Edward Maule
Second, essential services will be cut, and the city might even be compelled to raise taxes, though the people hit by the tax increases are unlikely to be the people and businesses benefitting from the previous rate reductions. [read post]
23 Sep 2016, 5:00 am by John Jascob
By Anne Sherry, J.D.A House Financial Services subcommittee hearing with the broad title of “Corporate Governance: Fostering a System that Promotes Capital Formation and Maximizes Shareholder Value” ended up focusing somewhat narrowly on a few discrete topics. [read post]
23 Sep 2016, 4:00 am by Tracy Coenen
Should you provide expert witness services to criminal defendants? [read post]
23 Sep 2016, 2:26 am by David Harris
Rest assured, I treat you with dignity, respect, and an unwavering commitment to personal service. [read post]
23 Sep 2016, 2:00 am by allisoncwilliams
Likewise, every child has a right to financial support from his or her parents. [read post]
22 Sep 2016, 11:51 pm by Cynthia Brown
Why Using an Attorney is Generally Much Better Than Relying on an Online Divorce Service If you and your spouse disagree on financial matters, child custody arrangements, or basically anything, then you will almost certainly want to discuss your situation with an attorney. [read post]
22 Sep 2016, 11:36 pm by Umakanth Varottil
Through its informal guidance dated September 12, 2016 in the matter of KJMC Financial Services Limited (“KJMC”), SEBI has utilized the opportunity to reiterate the legal position on the company’s eligibility to issue securities to its promoters on a preferential allotment basis. [read post]
22 Sep 2016, 3:37 pm by Fitapelli Kurta
Previous registrations include John Thomas Financial, which has since been expelled by FINRA, in New York, New York; Sagepoint Financial in Brooklyn, New York; HD Vest Investment Services in Irving, Texas; Wachovia Securities in St. [read post]