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22 Jul 2014, 3:40 pm
Additionally, it has worked with the Department of Defense to develop financial protections for service members and veterans, and established a national database to aide consumers with complaints about debt collectors, credit card companies, and credit rating agencies, among others. [read post]
17 Jan 2009, 5:17 pm
This will mean that all margin lending providers will have to: have an Australian Financial Services Licence (AFSL). [read post]
6 Jun 2008, 3:20 am
Hartford Financial Services Group has more than 100 plaintiffs and is pending before the U.S. [read post]
21 Feb 2019, 6:31 am
He worked with Capital Financial Services from August 2012 to August 2017 in Marietta, Georgia. [read post]
9 Jun 2016, 11:11 am
On May 5, 2016, the CFPB issued a proposed rule that would prohibit covered providers of certain consumer financial products and services from using an agreement with a consumer that provides for arbitration of any future dispute between the parties to bar the consumer from filing or participating in a class action with respect to the covered consumer financial product or service. [read post]
30 Oct 2008, 2:21 pm
“It’s a ruling against the financial services industry. [read post]
14 Jun 2018, 7:22 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
14 Jun 2018, 7:22 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
7 Oct 2009, 11:55 am
House Financial Services subcommittee chair Paul Kanjorski introduced a new draft bill that proposes making credit ratings agencies collectively liable for inaccuracies. [read post]
12 Jun 2009, 6:00 am
Citizens are asked to wear something purple and listen to the public service announcement "Elder abuse: It's time we talk about it. [read post]
4 Jan 2010, 6:38 pm
John Health System to settle allegations of violating the False Claims Act by trying to induce referrals for medical services. [read post]
25 Oct 2017, 8:28 am
The Financial Ombudsman Service (FOS) has published the latest issue of its newsletter – Ombudsman news issue 142. [read post]
4 Sep 2021, 7:06 am
FINRA has barred former Raymond James Financial Services, Inc. broker Jeffrey Travis Drost from the securities industry, after he refused to provide information and documents requested by FINRA. [read post]
10 Nov 2021, 8:40 pm
Some of the key legal uncertainties identified in the paper concern: the definition of core services, the meaning and ambit of ring-fencing transfer schemes, excluded activities not subject to the regime, the prohibition on incurring exposures to a range of financial institutions and exceptions to it, liquidity management for ring-fenced banks, the identification of the ‘account holder’, tax exposures and the application of the regime to trade finance products. [read post]
1 Jun 2022, 7:58 am
Sustainable finance regulation continues to be high on the agenda of asset managers and in this 20 minute webinar our financial services team provides an overview of existing UK rules and guidance in this area, as well as the broader policy direction. [read post]
10 Mar 2015, 7:13 pm
Companies provide almost all consumer financial products and services under written contracts. [read post]
9 Feb 2016, 7:21 am
Financial Services, a Miami based brokerage firm, settled what could have been a major criminal case with an agreed $ 1 million penalty payment to settle the charges and possibly avoid criminal prosecution. [read post]
20 May 2017, 7:24 am
CPR Radio Show Host Dan Levin Hit With FINRA Arbitration Award On May 19, 2017, a FINRA Dispute Resolution, Inc. arbitration panel issued a binding arbitration award against Dallas based financial planner Dan Levin, host of the CPR radio show, who markets his services through his company Comprehensive Planning for Retirement. [read post]
18 Mar 2007, 12:01 pm
Representative Barney Frank, chair of the House Financial Services Committee, plans to move a bill that "would give borrowers and others the ability to sue the Wall Street firms that package those mortgages and then sell them as mortgage-backed securities, as well as the purchasers of those securities in the secondary market" while Senate Democrats, including Senators Dodd and Schumer, are also looking into the matter. [read post]
4 Mar 2021, 8:50 pm
Some of the risks identified in the opinion, such as those associated with virtual currencies and innovative financial services, have already been identified in previous opinions and continue to be relevant. [read post]
