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17 Nov 2023, 10:53 am
Relentless, Inc. v. [read post]
16 Nov 2023, 10:19 am
The monies that we hold are invested conservatively through institutional financial firms in financial investments intended to deliver the rate of return the statute requires while minimizing risk as much as possible. [read post]
15 Nov 2023, 8:55 am
The post John Fagan, Raymond James, Barred by FINRA appeared first on The White Law Group. [read post]
15 Nov 2023, 6:26 am
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies. [read post]
15 Nov 2023, 5:55 am
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, announced the sale of Day Motor Sports LLC to CEO Dan Hamilton and Chief Financial Officer Stacy Hamilton. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
14 Nov 2023, 9:01 pm
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies, the second highest amount in SEC history, after the record-setting financial remedies ordered in fiscal year 2022. [read post]
14 Nov 2023, 3:18 pm
Mark Zuckerberg getting beat up is probably bad for Meta Platforms Inc. [read post]
13 Nov 2023, 1:21 pm
The post Navigating Debt Challenges: Fighting Resocore Asset Management – Your Guide to Financial Resilience appeared first on The Fullman Firm. [read post]
13 Nov 2023, 10:58 am
. $190,000 for Affinity Group BusinessThe New York Department of Financial Services (NYSDFS) entered into a Consent Order with A.G.I.A., Inc. on November 3, 2023, for violations related to multiple aspects of the Company’s affinity group life as well as group accident and health insurance business. [read post]
13 Nov 2023, 9:51 am
” See In the Matter of Coinbase, Inc. [read post]
13 Nov 2023, 7:51 am
., Inc., 60 F.4th 73 (4th Cir. 2023), a Fourth Circuit decision concerning “whether an insurer with financial responsibility for a bankruptcy claim is a ‘party in interest’ that may object to a Chapter 11 plan of reorganization. [read post]
13 Nov 2023, 5:05 am
” In its complaint, AXA claims that Christie’s sent two emails to its clients, with the first email sent pre-hurricane on October 26, 2012 outlining the precautions Christie’s was prepared to take to mitigate any damages and ensure “best-in-class environmental controls,” including elevating first-floor artwork off the ground. [read post]
12 Nov 2023, 9:23 pm
The post Fastest Growing Independent Broker-Dealers appeared first on The White Law Group. [read post]
12 Nov 2023, 9:01 pm
In June 2021, the SEC brought a case against First American Financial Corporation for disclosure controls and procedures violations related to a cybersecurity vulnerability that exposed sensitive customer information, even though the vulnerability was not exploited. [read post]
10 Nov 2023, 7:44 am
(CRD#:127724), CANTON, OH, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
10 Nov 2023, 7:29 am
(CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
10 Nov 2023, 6:00 am
” That is being made possible in the US by the Consumer Financial Protection Bureau under a new Personal Financial Data Rights rule that will, for the first time, guarantee Americans access to their data held at a bank or other provider at no charge. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
