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3 Sep 2015, 8:35 am by Lax & Neville LLP
A FINRA arbitration panel ordered UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. [read post]
28 Aug 2015, 10:44 am by Samantha E. Thompson
In September 2014, Gross made a sudden departure from Pimco, and joined rival Janus Capital Group Inc. [read post]
24 Aug 2015, 5:01 pm by Law Lady
REYNOLDS TOBACCO COMPANY a foreign corporation, LIGGETT GROUP, LLC, a foreign corporation, f/k/a LIGGETT GROUP, INC., f/k/a LIGGETT & MYERS TOBACCO COMPANY and VECTOR GROUP LTD, INC., f/k/a BROOKE GROUP, LTD, a foreign corporation, Appellees/Cross-Appellants. 4th DistrictThe Law Lady. [read post]
20 Aug 2015, 10:58 am by HL Chronicle of Data Protection
   The Commission’s first action was filed in December 2013 and the FTC obtained a temporary restraining order an asset freeze against Ideal Financial Solution’s Inc. [read post]
20 Aug 2015, 8:05 am by Kelly Phillips Erb
Suddenly, those assets on the books weren’t so meaningful because they didn’t translate into cash flow. [read post]
14 Aug 2015, 8:38 am by Malecki Law Team
In addition to Caldwell, he was also previously registered with PHD Capital and E1 Asset Management Inc. from 2002 to 2011. [read post]
12 Aug 2015, 2:29 pm by WOLFGANG DEMINO
”Today’s CFPB action is against Citizens Bank, N.A., formerly known as RBS Citizens Bank, N.A.; Citizens Financial Group, Inc., formerly known as RBS Citizens Financial Group, Inc.; and Citizens Bank of Pennsylvania. [read post]
12 Aug 2015, 6:41 am by Joy Waltemath
A range of securities industry groups testified before the Department of Labor on August 10 to both praise and criticize the DOL’s proposed definition of fiduciary. [read post]
2 Aug 2015, 4:01 pm
| Pro-Football Inc v Amanda Blackhorse et al. [read post]
20 Jul 2015, 4:58 pm by Sabrina I. Pacifici
Eight U.S. firms are currently expected to be identified as GSIBs under the final rule: Bank of America Corporation; The Bank of New York Mellon Corporation; Citigroup, Inc.; The Goldman Sachs Group, Inc.; JPMorgan Chase & Co.; Morgan Stanley; State Street Corporation; and Wells Fargo & Company…Like the proposal issued in December 2014, the final rule requires GSIBs to calculate their surcharges under two methods and use the higher of the two surcharges. [read post]
19 Jul 2015, 4:28 pm by INFORRM
  We had a case note about this decision and there were comments from interveners Open Rights Group. from Paul Bernal and on the UK Human Rights Blog (David Hart QC). [read post]
11 Jul 2015, 2:14 pm by Cynthia Marcotte Stamer
The heavy reliance by group health plans and health insurers upon internet based applications and portals to carry out online enrollment, claims administration and payment, reporting and a host of other key health plan functions makes it particularly important for health plans, their employer or other sponsors, fiduciaries, vendors, and other involved in health plan administration or using or accessing health plan data to verify and ensure the internet data sharing and other applications… [read post]
6 Jul 2015, 4:25 pm by Sabrina I. Pacifici
Twelve firms were required to submit plans on July 1: Bank of America Corporation, Bank of New York Mellon Corporation, Barclays PLC, Citigroup Inc., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
23 Jun 2015, 3:13 am by Ed. Microjuris.com Puerto Rico
Lafontaine-Torres worked as an Analyst in the investment bank Lehman Brothers Inc., during the summer of 2008. [read post]