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9 Jan 2018, 9:16 am
Samuel B Rankin CRD#811491 Silver Law Group is investigating Charlotte, North Caroline-based UBS Financial Services broker Samuel Rankin following a customer complaint alleging unsuitable investment recommendations. [read post]
8 Aug 2009, 12:05 am
APRA Chair John Laker has published his speech, Enhancing the competitiveness of financial services - lessons learnt and opportunities for improvement. [read post]
26 Apr 2010, 5:21 pm
For your convenience, I've gathered all of my posts about the various pending financial services reform legislation into a single new category called Wall Street Reform. [read post]
29 Jun 2009, 6:00 am
Linklaters, the big British law firm, said Monday that it has hired Robin Maxwell, the head Goodwin Procter's New York financial services team, as it seeks to build out its United States practice. [read post]
29 Jun 2011, 10:35 am
Raymond James Financial Services on Wednesday agreed to settle charges that it misled clients about auction-rate securities -- investments that were marketed as safe but turned toxic during the credit crisis. [read post]
17 Jul 2007, 12:38 pm
A discount brokerage firm entered into an agreement with a manufacturer of financial software to create and operate an Internet brokerage service. [read post]
28 Apr 2010, 10:34 am
Responsibilities include overall administration of student services, including student affairs, financial aid and scholarships, and registration and records. [read post]
25 Mar 2009, 1:22 pm
Kroeker, the SEC's Acting Chief Accountant, testified today on Testimony Concerning Exploring the Balance Between Increased Credit Availability and Prudent Lending Standards before the House Committee on Financial Services. [read post]
13 Oct 2010, 8:53 am
The Democratic House Financial Services Committee chairman is facing criticism from his Republican opponent over a private jet ride he took with a hedge fund manager. [read post]
12 Jun 2007, 1:37 pm
The following excerpts are from Jane Croft, A service for the very rich, Financial Times, June 7, 2007:According to private banks, there is a new enthusiasm among wealthy clients to donate some of their riches to projects to improve the... [read post]
14 Mar 2012, 9:54 am
Greg Smith's claim of a "decline in the firm's moral fiber" has inspired debates from a number of former Goldman Sachs employees and other financial services workers contacted by DealBook. [read post]
19 Dec 2011, 2:05 am
“New rules to stop a resurgence in risky mortgage lending are likely to be imposed in 2013 by the Financial Services Authority (FSA).” Full story BBC News, 19th December 2011 Source: www.bbc.co.uk [read post]
13 Sep 2011, 1:35 pm
The International Monetary Policy and Trade Panel of the Financial Services Committee of the U.S. [read post]
1 Apr 2010, 9:17 am
The Financial Services Authority, the British securities regulator, said Wednesday that seven people had been charged in an insider trading case that prosecutors claim made them $3.8 million in unlawful gains over two years. [read post]
16 Nov 2016, 4:21 pm
On November 15, 2016, Chair Mary Jo White testified Before the Committee on Financial Services of the United States House of Representatives in Washington, DC. [read post]
4 Jan 2013, 2:54 pm
Gutierrez (D-IL) announced that he was taking a leave of absence from the House Financial Services Committee (FSC) to serve on the Judiciary Committee as... [read post]
28 Apr 2009, 2:55 pm
Representative Barney Frank, the powerful chairman of the House Financial Services Committee, predicted Tuesday that the American banking system could be free of government bailout money within a year. [read post]
10 Sep 2010, 2:41 am
National Pension Service, South Korea's biggest investor, said it is open to teaming with Hana Financial Group Inc. or joining others to buy a stake in Woori Finance Holdings. [read post]
16 Feb 2012, 8:51 am
Thanks to the British financial services regulator, we have some new examples of his mind at work. [read post]
21 Jun 2012, 12:56 pm
Schapiro testified on “Examining Bank Supervision and Risk Management in Light of JPMorgan Chase’s Trading Loss” before the House Committee on Financial Services on June 19, 2012. [read post]
