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17 Jun 2019, 2:09 pm
After the issuing banks reimbursed the affected consumers for the fraudulent charges and replaced cards, Visa and MasterCard issued assessments on the acquiring bank, Citicorp Payment Services, Inc. [read post]
31 May 2019, 12:29 pm
It can also expose employers to liabilities under antidiscrimination laws, the Employee Retirement Income Security Act of 1974 (“ERISA”), or workers compensation statutes. [read post]
24 May 2019, 6:01 am
Securities and Exchange Commission, on Thursday, May 23, 2019 Tags: Accounting, Audits, Internal control, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities enforcement, Securities regulation, Small firms, SOX Section 404 [read post]
19 May 2019, 8:34 am
Matthes, formerly registered with Mutual of Omaha Investor Services, Inc. [read post]
17 May 2019, 6:06 am
Securities and Exchange Commission, on Sunday, May 12, 2019 Tags: Audits, Internal control, Sarbanes–Oxley Act, SEC, SEC enforcement, Securities enforcement, Securities regulation, Small firms, SOX Section 404 CEO Ownership, Corporate Governance, and Company Performance Posted by Kosmas Papadopoulos, Institutional Shareholder Services, Inc., on Monday, May 13, 2019 Tags: Agency… [read post]
16 May 2019, 5:38 am
As a result, firm customers often held these ETF positions in their accounts for extended periods of time, in some cases, longer than two years.Accelerated Capital Group, Inc. [read post]
15 May 2019, 1:49 pm
One of its affiliates, which operated the LJM Preservation and Growth Fund—a mutual fund for retail investors—lost half its value due to the VIX volatility index jump. [read post]
14 May 2019, 11:24 am
(quoting Gearhart & Otis, Inc. v. [read post]
14 May 2019, 11:24 am
(quoting Gearhart & Otis, Inc. v. [read post]
9 May 2019, 1:00 pm
First, the Court found that the Contraband exclusion was ambiguous and that extrinsic evidence compelled the conclusion that the parties shared a mutual intention that the policy would insure Green Earth’s inventory and that the Contraband exclusion would not apply to it. [read post]
6 May 2019, 6:23 am
According to BrokerCheck records financial advisor William Council (Council), currently employed by Raymond James & Associates, Inc. [read post]
4 May 2019, 12:39 pm
The affidavit was signed by a self-described employee of Transworld Systems, Inc., whom the Panel elevated to the status of a custodian of records for the occasion. [read post]
30 Apr 2019, 7:40 am
Mutual fund companies that sell funds based on indexes are known as passive investments because they simply track the index. [read post]
26 Apr 2019, 9:53 am
§ 21.001; AutoZone, Inc. v. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 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 Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities … [read post]
14 Apr 2019, 7:54 am
Standards lowered further to facilitate robo-litigation with sloppy affidavits and minimal documentation in consumer debt litigation A February 2019 panel opinion of the Fourteenth Court of Appeals in Houston marks a new nadir in the evolving jurisprudence governing credit card collection cases in Texas. [read post]
12 Apr 2019, 8:28 am
Morgan Stanley Delaney, Glen Newbridge Securities Corp Craig Scott Capital, LLC Flaningan, Joel NYLife Securities LLC Synergy Investment Services, LLC Hovermale, Jeffrey Sovereign Legacy Securities, Inc Family Income Planning, Inc Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie O’Neal,… [read post]
7 Apr 2019, 6:46 am
Verde Energy USA, Inc. was sued by a class of consumers in federal court for the Northern District of Illinois. [read post]
3 Apr 2019, 8:23 am
As we have previously reported, in regards to its sales of Puerto Rico closed-end bond funds, UBS has settled with the Financial Industry Regulatory Authority Inc. and the Securities and Exchange Commission for close to $34 million. [read post]
29 Mar 2019, 7:13 am
The companies will provide a wide range of investment banking services that include IPOs, M&A, Reg D, Reg A+, securities trading, clearing and custody, mutual fund sales, and while not currently active, support the operation of an alternative tradin... [read post]
