Search for: "PRUDENTIAL FINANCIAL, INCORPORATED"
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6 Feb 2019, 1:07 pm
(CRD #8174) of Uniondale, NY and Prudential Securities Incorporated (CRD #7471) of New York, NY. [read post]
30 Jan 2019, 1:03 pm
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, Phillip… [read post]
15 Nov 2018, 6:21 am
Christopher Scalese started in the financial services industry in New York, New York with Prudential Securities Incorporated from September 10, 1997 until June 19, 1998, FINRA notes. [read post]
8 Nov 2018, 7:31 am
From May 2001 to July 2003, he was registered with Prudential Securities Incorporated. [read post]
1 Nov 2018, 8:55 am
On 31 October 2018 the Prudential Regulation Authority (PRA) published its updated approach to banking supervision (the Approach). [read post]
16 Oct 2018, 8:06 am
Previous to working with Morgan Stanley, he was a registered broker with UBS Financial Services (UBS), Wachovia Securities, Prudential Securities Incorporated, Loeb Partners, and Hornblower, Weeks, Noyes & Trask. [read post]
11 Oct 2018, 5:03 pm
Schmidt previously worked for several other financial firms, including First Union Securities, PaineWebber Incorporated, and Prudential-Bache Securities. [read post]
23 Sep 2018, 9:50 am
Hubbard, Sumit Kumar Arora, for Redwood Financials, LLC, Respondent. [read post]
12 Sep 2018, 8:32 am
From September 1977 to July 2003, Malis was registered with Prudential Securities Incorporated. [read post]
22 Aug 2018, 3:52 am
HM Treasury is transferring responsibility for all BTS from the ESAs to the UK regulators, the basis of this exercise is set out in the draft Financial Regulators’ Powers (Technical Standards) (Amendment etc) (EU Exit) Regulations 2018. [read post]
21 Jun 2018, 6:56 am
PSD2 retained these benefits while also incorporating technological innovations and further clarifications and protections into EU law. [read post]
23 May 2018, 8:25 am
(The VA has its own succession statute, but that statute expressly incorporates other authorities.) [read post]
4 May 2018, 3:54 am
Establishing an EU anti-money laundering authority could bring about such a degree of improved cooperation; and money laundering risks are incorporated into ECB prudential supervision via the supervisory assessment. [read post]
26 Mar 2018, 6:09 pm
., ON BEHALF OF THEMSELVES AND FOR ALL OTHER SIMILARLY SITUATED, Petitioners,v.CASH BIZ, LP, CASH ZONE, LLC D/B/A CASH BIZ, AND REDWOOD FINANCIALS, LLC, Respondents.No. 16-0854.Supreme Court of Texas.Argued September 15, 2017.Opinion delivered: February 23, 2018. [read post]
4 Mar 2018, 6:26 pm
Requiring virtual banks to be locally incorporated, since they primarily focus on Hong Kong retail clients. [read post]
4 Dec 2017, 1:49 pm
From 1999 to 2000, he was associated with Prudential Securities Incorporated. [read post]
17 Nov 2017, 9:14 pm
Behnam noted that the 2008 financial crisis and weaknesses in the global regulatory system it revealed led to Congress enacting the Dodd-Frank Act, which largely incorporated the international financial reform initiatives for over-the-counter derivatives laid out at the G20 Pittsburgh Summit. [read post]
17 Sep 2017, 7:30 pm
The Company helps meet the growing demand for private education loans by providing national and regional financial institutions and educational institutions, as well as businesses and other enterprises, with an integrated suite of design, implementation and securitization services for student loan programs tailored to meet the needs of their respective customers, students, employees and members. [read post]
26 Jul 2017, 7:12 pm
Following a consultation paper issued by the Securities and Futures Commission (SFC) in July 2015, the SFC, on 24 July 2017, published consultation conclusions and further consultation on the proposed capital and other prudential requirements for licensed corporations engaged in over-the-counter derivatives (OTCD) activities and other proposed changes to the Securities and Futures (Financial Resources) Rules (FRR). [read post]
17 Jul 2017, 2:01 pm
Establishing a single set of principles for financial intermediaries’ fiduciary duties that incorporates environmental, social and governance (ESG) factors. [read post]
