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7 Feb 2023, 7:00 am
” The SEC also found that the firm held as much as $58 billion worth of customers’ securities in an account that was subject to a lien by the firm’s bank. [read post]
7 Feb 2023, 5:27 am
When a tech company moves to your city, the effects ripple far beyond just the people it employs. [read post]
7 Feb 2023, 5:10 am
Although London-based, the company has many multinational law firms as customers and therefore users in more than 60 countries. [read post]
6 Feb 2023, 12:56 pm
The following rules require firms and representatives to disclose to a customer all material facts and material information. [read post]
6 Feb 2023, 11:15 am
Silvergate Bank, filed on December 12, 2022 – in the U.S. [read post]
6 Feb 2023, 9:14 am
As we reported in March 2022, his FINRA BrokerCheck Profile indicates that the regulatory agency, the Financial Industry Regulatory Authority (FINRA) barred Rivero on June 4, 2021 after he allegedly refused to provide information and documents requested by FINRA in connection with its investigation of allegations made by his former customers. [read post]
6 Feb 2023, 3:08 am
Edward Jones: An Ironic and Cynical Tale of Alleged Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog) FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations (BrokeAndBroker.com Blog) FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise (BrokeAndBroker.com Blog) Calling All Unreasonable Wall Street Professionals by Bill Singer Esq … [read post]
6 Feb 2023, 3:08 am
FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations (BrokeAndBroker.com Blog) FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise (BrokeAndBroker.com Blog) Calling All Unreasonable Wall Street Professionals by Bill Singer Esq ‘Phishing-as-a-service’ kits are driving an uptick in theft: What you can learn from one business owner’s story (CNBC by Dawn… [read post]
5 Feb 2023, 5:12 pm
The joint venture, owned 50/50 by T&S and RLC, would provide T&S with financing between the period when it cut the lumber and when the end customers paid their invoices. [read post]
4 Feb 2023, 7:38 am
Denying injunctive relief may support the public interest, TD Bank v. [read post]
3 Feb 2023, 6:56 am
To merit these services, a customer usually must have a very high net worth. [read post]
2 Feb 2023, 10:55 am
The customer comes first. [read post]
2 Feb 2023, 2:23 am
With this type of wallet, your beneficiary can work with customer support to have the crypto transferred after your death. [read post]
1 Feb 2023, 9:01 pm
”[25] Bankruptcy filings indicate that FTX didn’t even maintain an accurate list of its bank accounts or account signatories.[26] Further, when there are wide-spread failures among large private issuers, the spillover effects can go well beyond the investor base of that one company.[27] Othe [read post]
1 Feb 2023, 2:39 pm
Charles Schwab – The SEC hit Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc. with $187 million in penalties and disgorgement for alleged misstatements and omissions about their conflict of interest in handling customer funds and the resulting drag on customer returns. [read post]
1 Feb 2023, 12:22 pm
To add insult to injury, the bank made it nearly impossible for customers to contact the bank to get their accounts unfrozen. [read post]
1 Feb 2023, 10:13 am
This is an exciting time to join A2Dominion and be part of the Group’s change programme, which is transforming the way we work and improving the services we deliver to our customers. [read post]
1 Feb 2023, 7:37 am
In addition, the Financial Conduct Authority (FCA) and Bank of England have issued a number of discussion papers, consultation papers, policy statements and regulatory guidance notes on cryptoassets, including the FCA’s consultation paper on financial promotions for cryptoassets (published in January 2022). [read post]
31 Jan 2023, 11:47 pm
During the periods of May 2014 and December 2015 the insured’s credit card system was breached by hackers who obtained unauthorised access to customers’ information from their Visa, MasterCard, and the bank (point-of-sale-system service providers) which issued the customers’ credit cards. [read post]
31 Jan 2023, 2:56 pm
“I would like to welcome Micro Focus customers, partners and employees to OpenText,” said OpenText CEO & CTO Mark J. [read post]
