Search for: "SELF FINANCIAL, INC."
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29 Sep 2022, 10:22 am
Populus Financial Group, Inc., which does business as ACE Cash Express, has filed a motion to dismiss the lawsuit filed by the CFPB in July 2022 against Populus in a Texas federal district court in which the CFPB alleges that Populus engaged in unfair, deceptive, and abusive acts or practices by concealing the option of a free repayment plan to consumers and making unauthorized debit-card withdrawals. [read post]
27 Sep 2019, 12:55 pm
For example, Bittrex, Inc. [read post]
30 Jan 2023, 6:58 am
Clarke, 445 U.S. 253, 257 (1980); Kirby Forest Indus., Inc. v. [read post]
5 Jun 2012, 6:30 am
With proper reserving, the insurer or self-insured will be able to meet the financial obligation to pay the claim. [read post]
5 Nov 2009, 6:41 am
The amendment would extend FINRA’s authority to cover investment advisors who are associated with broker-dealers already under FINRA’s authority.The Coalition, made up of the Certified Financial Planner Board of Standards, Inc., the Financial Planning Association, and the National Association of Personal Financial Advisors, is concerned with how the amendment extends FINRA’s authority to approximately 88 percent of investment adviser… [read post]
13 Feb 2015, 6:42 am
As a result of alleged misconduct by Santos-Buch in 1994, the National Association of Securities Dealers, Inc. (“NASD”) (a self-regulatory organization ("SRO") and predecessor in interest to the Financial Industry Regulatory Authority, Inc. (“FINRA”)), institute... [read post]
3 Jul 2019, 7:37 am
In the Matter of CV Brokerage, Inc.,... [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
20 Apr 2015, 3:52 am
Smarsh, Inc. and ... [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
10 Jan 2013, 1:21 pm
Section 4376 Fee For Self-Insured Plan Sponsors Applicability of Code Section 4376 Fee To Self-Insured Health Plans. [read post]
25 Sep 2020, 12:49 pm
Here's a look behind eight years of alleged conspiracy (Bloomberg by Tom Schoenberg)Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests (SEC Filing)Financial Planner Sentenced To Federal Prison For… [read post]
30 Oct 2017, 10:36 am
Brookstone Securities, Inc., Antony Lee Turbeville, Christo... [read post]
22 Mar 2023, 12:15 am
But wait, there's even more, the holding company and its non-bank was also subject to regulation by the Securities and Exchange Commission as well as at least two self-regulatory organizations - the Financial Industry Regulatory Authority, Inc. and The Nasdaq Stock Market LLC. [read post]
7 Oct 2011, 4:03 pm
A federal circuit court has ruled that the Financial Industry Regulatory Authority Inc., or FINRA, cannot collect fines through court judgments, leaving investors to wonder how effective the self-regulatory organization can be as a disciplinary body. [read post]
30 Nov 2018, 2:39 pm
Legend is no longer in operation and was expelled by the self-regulatory authority (SRO) in 2012. [read post]
