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6 Jun 2018, 11:02 pm
At present, the time frame for processing a licence application can be up to 12 months. [read post]
9 Oct 2019, 7:34 am
Silver Law Group has filed arbitration claims against the selling broker-dealers, including SagePoint Financial, related to GPB Capital investments. [read post]
24 Jun 2012, 2:15 pm
The aggregate value of all foreign financial accounts exceeded $10,000 at any time during the calendar year to be reported. [read post]
13 Dec 2018, 2:31 am
Distance contracts are defined in Article 2 of the Financial Services (Distance Marketing) Regulations 2004 (the UK Regulations) as contracts for financial services between consumers and suppliers concluded under an organised distance sale, or service provision scheme run by the supplier or an intermediary, where the supplier or intermediary makes exclusive use of one or more means of distance communication up to, and including, the time at which the contract is concluded.… [read post]
22 Oct 2021, 7:35 am
At the time, Couture was an LPL Financial broker until that broker-dealer fired him in June 2020. [read post]
31 Jan 2008, 9:01 pm
Even if you feel that numbers are not your thing, remember that it’s easier to understand these things now, before a catastrophe happens, than while you’re dealing with difficult times. [read post]
9 Jul 2019, 7:55 am
The Most Common Types of Financial Professional MalpracticeUnsuitable InvestmentsFinancial advisors in the US securities industry have a duty to their customers to place them in investments that are 1) suitable for any investor and 2) suitable for the particular investor at a given time. [read post]
25 Jun 2024, 7:58 am
If at any time you would like to unsubscribe, please use the SafeUnsubscribe® link located at the bottom of every email that you receive. [read post]
4 Jul 2012, 9:00 am
Financial independence is something all business owners work for, no matter what type of business they are in. [read post]
11 Mar 2007, 1:01 pm
Most of those meeting with a bankruptcy lawyer for the first time manifest some kind of shame, the sense that their financial hole is the sign of a moral as well as financial failure. [read post]
3 Nov 2015, 1:00 pm
* I assume the NYT timed the series roughly to coincide with the Consumer Financial Protection Bureau's anticipated decision to regulate the use of arbitration clauses in consumer financial contracts. [read post]
14 Jul 2011, 3:14 am
Cohn has just published a new book, Getting It Done: Experienced Healthcare Leaders Reveal Field-Tested Strategies for Clinical and Financial Success. [read post]
CBO Examines Impact of Legislation Imposing Financial Transactions Tax on Derivatives and Securities
13 Dec 2011, 10:28 am
With about 250 trading days in a year, a Treasury security is traded more than 10 times a year, on average. [read post]
1 Jul 2024, 12:51 pm
These goals can serve as benchmarks for measuring your financial progress over time. 10. [read post]
12 Dec 2013, 8:06 am
In comparison, in that same three-year time period, over 3,000 cases were filed by consumers in federal court about credit card issues alone. [read post]
8 Jan 2010, 10:21 am
But then, as Lincoln said, you can fool all the people some of the time and some of the people all the time. [read post]
1 Mar 2016, 3:21 am
In New Jersey, a family court judge will look at the financial lives of both spouses, and then apply an appropriate set of factors to determine an appropriate payment amount. [read post]
22 Nov 2009, 11:26 am
I think most practitioners in the settlement industry would agree that the aspect of PAST Hartford Financial Services Group business practices, with respect to the often draconian, at times non competitive structured settlements offered to claimants and plaintiffs against Hartford insureds, were extremely unpopular. [read post]
23 Jun 2009, 4:51 am
Insurance and reinsurance companies and their parent companies that previously were not subject to federal regulation would, under the new regulatory structure, for the first time be subject to federal oversight.A new body, the Financial Services Oversight Council, composed of the Secretary of the Treasury, Chairmen of the Federal Reserve Board, FDIC, SEC and the Commodity Futures Trading Commission, and the Directors of the new National Bank Supervisor, the new Consumer… [read post]
23 Oct 2011, 1:00 pm
There seems to be at least a hint that public support may be available in time of crisis, he said, which presumably would be ruled out for other affiliates of the financial institution.While acknowledging that he has not absorbed all the practical and legal implications of the U.K. proposal, Mr. [read post]
