Search for: "FIDELITY FINANCIAL SERVICES, INC." Results 41 - 60 of 153
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23 Dec 2019, 1:40 pm by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp   Mostert, John   Quest Capital Strategies, Inc. [read post]
26 Nov 2019, 7:23 am by Silver Law Group
  Wells Fargo Clearing Services, LLC   Raymond James & Associates, Inc   Soliman, Fadi   IBN Financial Services, Inc   Ameriprise Financial Services, Inc. [read post]
22 Oct 2019, 12:22 pm by Silver Law Group
According to FINRA Disciplinary actions for August 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   Sandra Acree   Fidelity Brokerage Services   Andrew Baker   Suntrust Investment Services   Wells Fargo Advisors   William Cannon  … [read post]
22 Oct 2019, 10:26 am by Silver Law Group
According to FINRA Disciplinary actions for August 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   Carolyn Andrews   UBS Financial Services   Morgan Keegan & Company   Meiewyn Avent   Alliance-One Investments   Metlife Investors… [read post]
7 Aug 2019, 9:23 am by Kristian Soltes
Korean Financial Regulator Planning to Directly Regulate Cryptocurrency ExchangesBusiness Korea – August 7, 2019 The Financial Intelligence Unit (FIU) under the Financial Services Commission (FSC) has disclosed a plan to directly regulate cryptocurrency exchanges and bring them into the regulatory system. [read post]
8 Jul 2019, 6:22 am by Deb Givens
  U.S. financial services provider Fidelity National Information Services Inc. is set to gain unconditional antitrust approval from the European Union for its $35 billion bid for payments company Worldpay, people familiar with the matter said. [read post]
3 Jul 2019, 4:06 am by Kristian Soltes
That announcement was followed by the news in March that Fidelity Information Services Inc. [read post]
1 Jul 2019, 12:46 pm by Silver Law Group
  Morgan Keegan & Company, Inc   Avent, Meiewyn   Alliance-One Investments, LLC   Metlife Investors Distribution Company   Bougopoulkos, Nicholas   Wells Fargo Securities, LLC   Stifel Financial Corp   Cook, Marian   Farmers Financial Solutions, LLC   Corley, Robert   Fidelity Brokerage Services LLC   Redstone Securities, Inc   Detamore, Craig   Allstate Financial… [read post]
21 Jun 2019, 10:48 am by Rob Robinson
The advent of the internet and mobile broadband has empowered billions of people globally to have access to the world’s knowledge and information, high-fidelity communications, and a wide range of lower-cost, more convenient services. [read post]
19 Apr 2019, 5:33 am by Silver Law Group
Insurance Agency   Guillory, Michael   Financial West Group   The Shemano Group, Inc   Hamm, Brandon   Wells Fargo Clearing Services   Hartigan, John   Entrustpermal Securities LLC   Calyon Financial Inc   Jones, Marques   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America   Merlo, Robert   Allstate Financial Services   Pruco Securities  … [read post]
12 Apr 2019, 8:25 am by Silver Law Group
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  … [read post]
30 Jan 2019, 1:06 pm by Silver Law Group
According to FINRA Disciplinary actions for January 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   Balas, Tami   SCF Securities, Inc   Klopp Agency   Bustamante, Ricardo   JP Morgan Securities LLC   Bustamante Family Legacy, LLC   Coffey, Brian… [read post]
30 Jan 2019, 1:03 pm by Silver Law Group
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,… [read post]
3 Jan 2019, 5:57 am by Silver Law Group
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… [read post]
18 Dec 2018, 11:03 am by Silver Law Group
According to FINRA Disciplinary actions for November 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   Jose Arizmendi   Silber Bennett Financial, Inc   TCFG Wealth Management, LLC   Tani Balas   SCF Securities, Inc   Klopp Agency… [read post]
20 Nov 2018, 7:18 am by John Jascob
He noted that there are solutions that currently exist, and urged Broadridge Financial Solutions, which provides proxy voting services, to think how it can make its system simpler. [read post]
17 Oct 2018, 3:59 am
FIL Ltd v Fidelis Underwriting [2018] EWHC 1097, High Court of England and Wales (May 2018)The use of FIDELIS for specialty insurance and reinsurance services does not infringe FIDELITY for financial services, holds Mr Justice Arnold. [read post]
2 Oct 2018, 5:48 am by Silver Law Group
  Alan Garett   Fidelity Brokerage Services LLC   Ramon Herrera   Wells Fargo Clearing Services, LLC   Mandee Khu   JP Morgan Securities LLC   Chase Investment Services Corp   John Maccoll   UBS Financial Services Inc   Morgan Stanley DW Inc. [read post]