Posts tagged with: "financial+issue"
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12 Oct 2015, 7:07 am
Furletti Last Thursday, I had the pleasure of teaching a class on payments and banking products to new lawyers at the American Bar Association’s Consumer Financial Services Institute. [read post]
6 Oct 2016, 9:32 am
Companies would be wise to use the information provided in this database, as well as to maintain information regarding their own customer complaints, to stay in front of any potential issues or emerging trends. [read post]
14 Mar 2011, 8:15 am
A total of 64,085 complaints were filed about this type of issue, or about five percent of all complaints. [read post]
28 Mar 2011, 6:00 am
On February 18, 2011, The Northern District of Texas issued a Temporary Restraining Order (TRO) enjoining multiple arbitration proceedings before the Financial Industry Regulatory Authority (FINRA) in Billitteri v. [read post]
22 Aug 2023, 5:09 am
Alimony plays a crucial role in many Florida divorces in that it helps lesser-earning parties maintain financial stability after their marriage ends. [read post]
25 Apr 2019, 9:10 am
If an issue becomes too emotional, the facilitator can park the discussion on that issue until another meeting so that the primary meeting may continue. [read post]
6 Dec 2014, 2:14 pm
For example, the Fed has never issued guidance on the scope of the grandfather authority that allows financial firms that convert to bank holding companies to continue to engage in certain physical commodity activities. [read post]
27 Jul 2018, 9:02 am
Consistent with its previous statement, the OSC will continue to focus on diversity issues faced by Issuers, particularly the Women on Boards and Executive positions initiative, in the upcoming financial year. [read post]
12 Sep 2020, 6:10 am
Crenshaw, to vote against the rule and to issue dissents. [read post]
19 Mar 2020, 9:10 am
Knowing what to do and whom to speak to when a margin call is issued is vitally important to an investor’s financial well-being. [read post]
30 Apr 2010, 9:16 am
In his view, the conflict of interest in the credit rating industry would end if, randomly, it is going to be assigned among companies that rate issuers of financial instruments. [read post]
13 Feb 2023, 3:30 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6888/securities-industry-commentator/ SEC Press Release Fails To Disclose that OCC Settled Charges Without Admitting or Denying Findings (BrokeAndBroker.com Blog) Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer… [read post]
5 Aug 2013, 4:11 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Michael Jeffery Wiseman submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Jan 2017, 9:35 am
The Financial Industry Regulatory Authority has to make up its mind. [read post]
16 Oct 2014, 7:50 am
" Consider this recent FINRA regulatory settlement.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Jon Robert Hickman submitted a Letter of Acceptance, Waiver and Con... [read post]
5 Jul 2017, 6:42 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Robert Brian Lefkowitz submitted a Letter of Acceptan... [read post]
22 Feb 2017, 5:40 am
As three recent FINRA regulatory settlements show, the regulator's Peeps protocol produces putrid policies.Case In Point IFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Diana Lynne Stamborski submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA… [read post]
2 Oct 2021, 7:52 am
Filler Institute for Financial Services Law / New York Law School presents: "A Conversation About Current Issues Facing the Global Financial Industry"October 18, 2021 at 4 P.M. - 6 P.M. [read post]
25 Apr 2013, 6:19 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Alfred P. [read post]
15 Jul 2014, 7:00 am
The FBI has issued warnings to the healthcare sector: Cyber actors will likely increase cyber intrusions against healthcare systems--to include medical devices--due to mandatory transition from paper to electronic health records, lax cybersecurity standards, and a higher financial payout for medical records in the black market. [read post]
