Posts tagged with: "financial+services"
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15 Feb 2016, 10:09 am by rexsecuritieslaw
  On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica Financial Services failed to commit sufficient time, attention and resources to compliance and supervision. [read post]
27 Feb 2017, 7:09 am by Andrew Stoltmann
The post Shawn MacDonell; Hantz Financial Services, Taylor, Michigan; 48180 appeared first on . [read post]
16 Jul 2009, 3:48 pm
Download   In that case, Arrow Financial Services asked the court for a default judgment. [read post]
21 Mar 2015, 11:24 am by rexsecuritieslaw
  Share Financial was censured and … Continue reading Dallas Based Share Financial Services Sanctioned by Securities Regulators → [read post]
9 Jan 2017, 1:06 pm by Fitapelli Kurta
Public records published by the Financial Industry Regulatory Authority (FINRA) on January 9, 2017 indicate that New Jersey-based brokerage firm Tullett Prebon Financial Services has been sanctioned by FINRA. [read post]
27 Aug 2007, 11:46 pm
Extending the relationship will make it easier for financial services member organizations to protect employees. [read post]
5 Nov 2008, 6:31 pm
Permira, the British buyout firm, said on Wednesday that it has hired James Fraser to head its financial services group. [read post]
11 Jun 2007, 9:01 am
The Carlyle Group said Monday that it had created a new group that will invest in the financial services sector, including banking and insurance. [read post]
1 Apr 2012, 5:29 pm by zimmermansguide
Not many PI firms have experience with this work, but you can get a list of firm who do by calling the New York Department of Financial Services.  [read post]
19 Dec 2016, 11:37 am by Adam D. Maarec and Courtney K. Stout
Banks, insurers, and other financial services companies in the Empire State may have to abide by new cybersecurity regulations come January 1, 2017. [read post]
4 Apr 2016, 9:36 am by rexsecuritieslaw
Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. [read post]
24 Apr 2017, 2:05 pm by Andrew Stoltmann
The post James Ham; First Independent Financial Services; Dallas, Texas appeared first on . [read post]
11 Oct 2016, 7:43 am by Travis P. Nelson
Among the issues addressed, none was more prominent that those involving consumer financial services. [read post]
11 May 2012, 5:08 am by JA Hodnicki
Daniel Sokol GCR Live: Financial Services and Competition Law June 20, 2012 Programme 9.00am: Chairman's introduction Nicholas Levy, Cleary Gottlieb Steen & Hamilton LLP 9.10am: Keynote speech: Antitrust issues in the financial services sector Clive Maxwell, Executive... [read post]
6 Jan 2012, 5:01 pm by Erik Gerding
The Section on Financial Institutions and Consumer Financial Services will have a record four events at this weekend's Association of American Law Schools Annual Meeting in Washington, DC. [read post]
8 Aug 2012, 4:58 pm by Hunton & Williams LLP
Earlier this year, the Consumer Financial Protection Bureau (“CFPB”) published a Bulletin signaling its intent to regulate and exercise enforcement authority over service providers to financial institutions. [read post]
11 Nov 2016, 4:23 pm by BuckleySandler
SEC Chair Mary Jo White is scheduled to testify later this month at separate House Financial Services Committee hearings, a spokesman for the panel said. [read post]
20 Jun 2016, 8:23 am by Beth Graham
This report examines how the financial services industry uses these clauses to defeat consumers’ rights and evade accountability for their wrongdoing. [read post]