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19 Apr 2019, 5:33 am
According to FINRA Disciplinary actions for March 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities Austin, Aaron LPL Financial LLC M & T Securities, Inc Conner, Youn Das, Anukul NYLife… [read post]
12 Apr 2019, 8:25 am
According to FINRA Disciplinary actions for February 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Arizmendi, Jose Silber Bennett Financial, Inc TCFG Wealth Management, LLC Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC… [read post]
In anticipation of Brexit, US regulators address status of certain swaps under the Swaps Margin Rule
1 Apr 2019, 2:28 pm
Background Under regulations (the “Swap Margin Rules”) adopted by the CFTC and federal banking, farm credit and housing agencies (the “Agencies”), swap dealers and security-based swap dealers under the Agencies’ respective jurisdictions are required to exchange margin with their financial counterparties for swaps not otherwise centrally cleared (“uncleared swaps”). [read post]
20 Mar 2019, 9:05 pm
Reported in 36 states, it was the largest outbreak of E. coli O157: H7 the United States had seen in 10 years. [read post]
15 Mar 2019, 9:00 am
With the passage of the Farm Bill, businesses believe that banks and investors are more likely to work with industrial producers of hemp. [read post]
10 Mar 2019, 1:38 pm
As our L.A. marijuana business attorneys can explain, getting caught can mean loss of businesses, loss of assets (including homes, cars and bank savings), severe fines and even criminal penalties. [read post]
28 Feb 2019, 1:20 pm
Federal and state laws require credit card agreements to be in writing and they specifically prevent banks from charging fees in excess of the written agreements. [read post]
22 Feb 2019, 7:40 am
Phillips appeared in the February 13, 2019 issue of the Business Law Section Blog of the State Bar of Wisconsin and is being reposted from that site with the permission of the author and the State Bar of Wisconsin. [read post]
20 Feb 2019, 2:37 pm
Introduction In going all the way to the United States Supreme Court, Kelo v. [read post]
20 Feb 2019, 1:04 pm
Federal and state laws require credit card agreements to be in writing and they specifically prevent banks from charging fees in excess of the written agreements. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip… [read post]
21 Jan 2019, 6:56 pm
” Some of the notable excluded categories include: groundwater farm and roadside ditches features that only receive rain water; and stormwater control features What is Next? [read post]
21 Jan 2019, 6:56 pm
” Some of the notable excluded categories include: groundwater farm and roadside ditches features that only receive rain water; and stormwater control features What is Next? [read post]
18 Jan 2019, 11:57 am
Indian farmers struggle with debt owed to banks and money lenders to the point where crop failures trigger farm suicides at an alarming rate. [read post]
17 Jan 2019, 7:58 pm
And an active one it is indeed, with the state supreme court asked to weigh in on a regular basis. [read post]
10 Jan 2019, 8:27 am
On December 10, 2018, the British Columbia Law Institute (BCLI) released its final report on the Employment Standards Act review mandated by the government. [read post]
10 Jan 2019, 8:27 am
On December 10, 2018, the British Columbia Law Institute (BCLI) released its final report on the Employment Standards Act review mandated by the government. [read post]
9 Jan 2019, 8:28 am
What does this mean for banks and payment processors? [read post]
7 Jan 2019, 8:10 am
The findings stated that the firm had no procedures to address the suitability concerns raised by short-term trading in UITs. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company American General… [read post]
