Posts tagged with: "financial+issue"
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17 Dec 2020, 12:19 pm
FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 15, The Financial Industry Regulatory Authority (FINRA) has sanctioned 3 Cetera Firms over alleged deficiencies in supervising dually-registered representatives (DRRs). [read post]
15 Nov 2010, 11:39 am
We’re heading off a cliff financially. [read post]
27 Oct 2009, 8:54 am
What is Patrick Byrne’s response to the allegations (and solid proof, if I might say so myself) that the company is consistently violating Generally Accepted Accounting Principles when it issues, re-issues, and re-re-issues financial statements? [read post]
24 Oct 2009, 6:00 am
Although the case largely centered on a contested will purportedly signed by Astor, other estate-planning issues also came into play. [read post]
22 Aug 2012, 8:55 am
The Financial Industry Regulatory Authority ("FINRA") has issued Investor Alert: Public Non-Traded REITs - Perform a Careful Review Before Investing. [read post]
17 Jul 2024, 2:30 am
On April 29, 2024, the Equal Employment Opportunity Commission (EEOC) issued its final harassment guidance, updating the previous version with Bostock, #MeToo, and remote work issues. [read post]
17 Jul 2024, 2:30 am
On April 29, 2024, the Equal Employment Opportunity Commission (EEOC) issued its final harassment guidance, updating the previous version with Bostock, #MeToo, and remote work issues. [read post]
23 Apr 2023, 9:05 pm
Biden issued his first veto on a resolution to overturn a retirement investment rule. [read post]
23 Mar 2010, 4:48 am
An influential group of of institutional investors in Britain is calling for a re-examination of the M&A advisory fees paid to investments banks, arguing that in some cases they may be influencing the outcome of takeovers, The Financial Times reported. [read post]
8 Mar 2011, 10:09 pm
Madoff case even though he had a financial interest in it. [read post]
17 Oct 2011, 8:34 am
The final rule requires bank holding companies with assets of $50 billion or more and nonbank financial firms designated... [read post]
18 Sep 2018, 6:19 am
In July, the CFTC issued a $30M whistleblower award. [read post]
19 Aug 2016, 9:45 am
Families with an Alzheimer's patient must address the issue of financial planning as well as care and treatment. [read post]
3 Mar 2022, 8:02 am
In addition to discussing what cryptocurrency is, we look at some of the regulatory rules that apply to this increasingly popular but complicated financial instrument, including registration and compliance program requirements, and consider how crypto exchanges, financial institutions, and other businesses should address crypto transactions involving unhosted digital wallets and requirements for the identification and reporting of counter-parties to transactions. [read post]
30 Aug 2018, 8:36 am
The disclosures used included unsuitability, misrepresentation, unauthorized activity, omission of key facts, fee related issues, fraud, fiduciary duty issues, negligence, risky investments, and churning, among others. [read post]
10 Nov 2009, 10:49 am
The Oklahoma Farm Report online writes that the American Farm Bureau Federation is concerned that looming battles over attempts to change animal agriculture standards could become a major financial drain on the agriculture industry. [read post]
1 Jun 2022, 12:58 pm
But there are still issues that need to be resolved. [read post]
5 Mar 2011, 4:39 am
This week the Senate Special Committee on Aging held a hearing to discuss issues related to elder abuse, neglect, and financial exploitation. [read post]
11 Nov 2014, 12:10 pm
On November 5, the Federal Reserve Board issued a final rule implementing Section 622 of the Dodd-Frank Act, which generally prohibits a financial company from combining with another company if the ratio of the resulting company’s liabilities exceeds 10% of the aggregate consolidated liabilities of all financial companies. [read post]
11 May 2012, 9:00 am
Related posts: Consumer Financial Protection Bureau Opens Ombuds Office; Coalition of Federal Ombuds Begins Plans for 2012 Conference. [read post]
