Posts tagged with: "financial+issue"
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26 Oct 2017, 1:52 am
Utah Financial Advisor Pleads Guilty to Tax Evasion, Securities Fraud and Wire Fraud (Department of Justice Press Release 17-1221) https://www.justice.gov/opa/pr/utah-financial-advisor-pleads-guilty-tax-evasion-securities-fraud-and-wire-fraudFrom 2009 through 2017, Henry Brock served as President of a financial services company he founded, and through which he marketed and sold an “IRA Exit Strategy” to potential investors. [read post]
7 May 2014, 6:00 am
Like in the US, European policy-makers have taken a number of measures as a reaction to the financial crisis, some of which address corporate governance issues of credit institutions and investment firms (hereafter collectively referred to as “banks”). [read post]
13 Oct 2013, 8:41 pm
The Eleventh Forum seeks to reassess and critically engage with issues of risk sharing, mutuality, solidarity, and socio-economic welfare in the context of a discussion about takaful and other types of cooperative financial solutions. mw [read post]
29 Jul 2024, 12:00 am
Since a potential divorce could completely upend a family’s financial situation, making decisions about how various issues will be handled ahead of time can provide both spouses with assurance that they will be able to meet their needs. [read post]
30 Aug 2024, 12:00 am
Out-of-court debt restructuring can offer financial institutions and creditors a more flexible, efficient, and less adversarial way to resolve debt issues compared to traditional court proceedings. [read post]
12 Apr 2021, 10:55 am
By way of background, the Kraninger-era CFPB issued an Interim Final Rule in Summer 2020 to address this same issue. [read post]
13 Dec 2010, 8:02 am
The biggest issue at trial was the Plaintiff’s accident related future care needs. [read post]
25 Jul 2017, 1:31 pm
The DAO has been described as a "crowdfunding contract" but it would not have met the requirements of the Regulation Crowdfunding exemption because, among other things, it was not a broker-dealer or a funding portal registered with the SEC and the Financial Industry Regulatory Authority. [read post]
14 Feb 2013, 8:44 am
President Obama emphasized that in the face of threats to corporate secrets, the power grid, and financial institutions, among others, “We cannot look back years from now and wonder why we did nothing in the face of real threats to our security and our economy. [read post]
1 Nov 2016, 6:04 am
Each month, the Harvard Law School Forum on Corporate Governance and Financial Regulation features over 60 posts on a wide range of issues in these fields—from Brexit to mergers and acquisitions. [read post]
21 Mar 2016, 10:59 am
On March 15, the Financial Industry Regulatory Authority (commonly referred to as “FINRA”) issued a Report that emphasizes that offerings of digital investment advice requires sound governance and supervision, including effective means of overseeing the suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing. [read post]
6 Jun 2016, 9:53 am
Steven Oroho said that New Jersey is facing two critical issues that will have enormous impacts on the state’s financial health – the reauthorization of the Transportation Trust Fund and stemming the outmigration of income and wealth out of New Jersey. [read post]
23 Nov 2023, 9:39 am
If your contract doesn’t address the issue directly, the question then becomes: Does it address the issue indirectly, or does it not address the issue at all? [read post]
24 Oct 2008, 7:18 pm
something I have seen in my own clients, this is not necessarily a global financial issue per se. [read post]
24 Sep 2019, 9:55 pm
Casting a wider net than that, it also add extra reporting requirements for people who aren’t avoiding taxes and, by imposing withholding requirements on foreign financial and non-financial foreign entities if they do not comply, it required certain foreign financial and non-financial entities to report assets held by their account holders. [read post]
29 Jul 2012, 8:21 am
FLAWLESS FINANCIAL CORPORATION, Dist. [read post]
13 Apr 2018, 12:18 pm
For more information on The White Law Group, please visit www.whitesecuritieslaw.com The post Park Avenue Securities – Censured & Fined for Supervisory Issues appeared first on White Securities Law. [read post]
26 Sep 2017, 6:32 am
The post FINRA Charges Morgan Stanley $13 Million for Supervisory Issues appeared first on White Securities Law. [read post]
20 Jun 2019, 5:07 pm
Though many Clark County, Washington drivers may be tempted to waive it, PIP coverage can offer essential financial help in the event of an accident. [read post]
30 May 2018, 7:48 am
The rules now also explicitly allow the Commissioner to request “policies and procedures, consumer complaints, financial statements, and any other reasonable information. [read post]
