Search for: "Financial Consulting and Trading International, Inc."
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15 Jan 2014, 12:11 am
Much like when an individual wants to buy foreign currency in anticipation of international travel, a common method for a company or investor to make a large currency transaction is to review information posted by various banks about their prices for a given currency and pick the best rate. [read post]
1 Nov 2012, 9:15 pm
Court of Appeals for the Second Circuit reversed the grant of summary judgment to three individuals whom the SEC had accused of insider trading ahead of Allied Capital Corporation’s 2001 acquisition of SunSource, Inc. [read post]
16 Apr 2020, 7:56 am
European Commission Published Consultations on Digital Finance and Retail PaymentsNational Law Review – April 10, 2020 On April 3, the European Commission (Commission) launched targeted consultations on digital finance (Digital Finance Consultation) and retail payments (Retail Payments Consultation) and together with the Digital Finance Consultation (the Consultations). [read post]
23 Mar 2018, 6:06 am
The National Association of Securities Dealers, Inc. [read post]
14 Oct 2011, 12:51 pm
After the Financial Industry Regulatory Authority, or FINRA, found that Raymond James Financial Services Inc. had charged excessive commissions in about 13,500 customer accounts due to a failure to supervise, the firm agreed to pay more than $750,000 plus interest to the customers, as well as a $200,000 fine. [read post]
20 Jul 2007, 3:47 pm
The United States is seeking consultations with China over rules on music downloading and cinema rights that appear to discriminate against foreign sound recordings and films, a US trade official said Wednesday. [read post]
16 Nov 2021, 6:08 am
Zenergy International, Inc. and an $80,000 penalty against the orchestrator of a pump-and-dump scheme in SEC v. [read post]
17 Feb 2023, 5:06 am
The National Association of Securities Dealers, Inc. [read post]
8 Sep 2022, 12:42 pm
Investment Advisor Christopher Turean allegedly Misappropriated Customer Funds The Certified Financial Planner Board of Standards, Inc. [read post]
3 May 2018, 7:24 am
He then worked for Voya Financial Advisors Inc. from 2015 until 2016 when he was fired for “failure to cooperate in an internal investigation relating to potential receipt by the representative of a cash gift from a customer. [read post]
8 Sep 2022, 12:47 pm
CFP Reportedly Orders Revocation to Mark Trewitt, Delta Investment Management, for Rules Violations Certified Financial Planner Board of Standards, Inc. [read post]
20 Mar 2014, 10:52 am
These include: Risort Partners Inc., Hullstar Capital LLP, Camber Alliance LLP, Kimrod Estate LLP, and Midlcorp Trade LTD. [read post]
23 Nov 2022, 6:32 am
Least supportive are Trade Associations and Politicians. [read post]
23 Nov 2022, 6:32 am
Least supportive are Trade Associations and Politicians. [read post]
30 Mar 2017, 9:44 am
Building the Canadian Advantage: A Corporate Social Responsibility (CSR) Strategy for the Canadian International Extractive Sector • These generally involve direct compliance • Domestic law: home and host states • Soft law; indigenous law (national an international) • Private law • But increasing need to think about indirect compliance: • Financial institutions • Suppliers • Upstream customers • We Focus on financial… [read post]
14 Dec 2015, 7:19 am
With oil continuing to trade at less than 50% of what it traded at just last year, oil and gas companies (particularly smaller operations) continue to struggle. [read post]
17 Mar 2015, 6:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm World Equity Group, Inc. [read post]
5 Dec 2017, 1:53 pm
About Solutions Law Press, Inc. [read post]
8 Dec 2023, 11:11 am
For a free consultation with a securities attorney, please call (888) 637-5510. [read post]
17 Dec 2014, 8:10 am
Trade-PMR Inc. [read post]
