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21 May 2018, 1:41 pm
Covered financial institutions include banks; brokers or dealers in securities; mutual funds; and futures commission merchants and introducing brokers in commodities. [read post]
18 Jun 2019, 2:34 pm
His record shows at least four customer disputes, most of them alleging unauthorized trading. [read post]
16 Jul 2009, 10:34 am
They were basically punishing me for being a customer. [read post]
20 Sep 2018, 10:30 am
Is the platform subject to, and registered under, banking regulations or a similar regime—for instance, the New York BitLicense regulations? [read post]
19 Nov 2008, 7:42 am
I'm a customer," she said. [read post]
7 Mar 2019, 7:34 am
While the product has already established a strong base in banking and insurance, he said, he sees opportunities in sectors such as pharmaceuticals and healthcare. [read post]
6 Feb 2024, 6:13 am
(Truist) has been subject to at least two customer complaints during the course of his career. [read post]
11 May 2012, 9:13 am
Effectively, Section 716 requires banks to divest the types of derivatives activities considered to carry the greatest risk, while allowing banks to retain the majority of their routine low-risk derivatives activities on behalf of customers. [read post]
25 Jul 2024, 5:01 am
However, the FCA emphasises that firms should not rush through closures before 18 September, as they should (under Finalised Guidance 22/6) communicate closures to customers at least 12 weeks before they take effect. [read post]
3 Nov 2011, 11:49 am
SIPC board chairman Orlan Johnson, stated, "When the customers of a failed SIPC member brokerage firm have left their securities in the custody of that firm, SIPC acts as quickly as possible to protect those customers. [read post]
16 Jan 2024, 5:00 am
PRACTICAL GUIDANCE CUSTOMER EMAIL EDITION ON THE WEB Experience results today with practical guidance, legal research, and data-driven insights—all in one place. [read post]
30 Jul 2024, 8:00 am
PRACTICAL GUIDANCE CUSTOMER EMAIL EDITION ON THE WEB Experience results today with practical guidance, legal research, and data-driven insights—all in one place. [read post]
21 Jul 2019, 1:49 pm
Cutshall, the Complaint further alleges, took approximately $400,000 from the account of the aforementioned deceased customers’ residuary trust by purportedly using his position as trustee to write checks drawn against the trust’s account at his member firm and depositing the checks into his personal bank account, FINRA reports. [read post]
15 Jan 2015, 6:48 am
Pulaski Bank, January 12, 2015, Kays, G.). [read post]
14 May 2008, 6:59 am
Not customer friendly? [read post]
29 Jun 2016, 6:58 pm
They do not want to be liable for any losses to a customer should this fundamental legal document be abused. [read post]
4 Jan 2011, 7:34 am
In a competitive credit card market, credit card companies will vie with each other for customers. [read post]
29 Jun 2018, 9:22 am
Applicable U.S. whistleblower laws can hold corporations accountable for facilitating wildlife crime through bribery or customs fraud. [read post]
18 Feb 2009, 10:00 pm
Immigration and Customs Enforcement press release each explained that Officer Balbuena could have parked over $230,000 in drug monies in nine bank accounts. [read post]
30 Oct 2009, 12:56 am
FINRA says that by failing to meet this requirement, Scottrade violated the Bank Secrecy Act and FINRA rules. [read post]
