Posts tagged with: "financial+issue"
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29 Nov 2016, 3:43 am
From 22nd December, the following journals will no longer be available via Lexis Library:European Competition JournalJournal of Corporate Law StudiesJournal of Media LawJournal of Private International Law Judicial ReviewLaw and Financial Markets ReviewLegal EthicsThis is because ownership of these journals has recently transferred from Bloomsbury Publishing (with whom Lexis had an agreement to host the journals) to Taylor & Francis (with whom they don't have such an… [read post]
25 Nov 2013, 9:23 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, Jeffery Bruce Scharingson submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Oct 2008, 11:00 pm
The Office of the Comptroller of Currency, Federal Reserve Board, Federal Deposit Insurance Corporation, the Office of Thrift Supervision, National Credit Union Association, and the Federal Trade Commission ("FTC") issued regulations, known as the "Red Flag Rules," requiring financial institutions and creditors to develop and implement written programs to detect, prevent and mitigate instances of identity theft. [read post]
18 Oct 2013, 3:17 am
Neither is the purported scrutiny that financial institutions give to the account activity of elderly clients. [read post]
26 Aug 2017, 12:12 pm
Another day and another violation of the Financial Industry Regulatory Authority's Private Securities Transactions Rule. [read post]
6 Apr 2017, 6:16 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, Todd J. [read post]
2 Oct 2008, 11:00 pm
The Office of the Comptroller of Currency, Federal Reserve Board, Federal Deposit Insurance Corporation, the Office of Thrift Supervision, National Credit Union Association, and the Federal Trade Commission ("FTC") issued regulations, known as the "Red Flag Rules," requiring financial institutions and creditors to develop and implement written programs to detect, prevent and mitigate instances of identity theft. [read post]
23 Dec 2013, 2:21 am
In the end, the transaction turns out to be a mess.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, Pamela J. [read post]
6 Jan 2014, 3:13 am
A Multi-Million Dollar Refused Execution And Wrongful Liquidation CaseIn a Financial Industr... [read post]
27 Nov 2013, 4:46 am
How could such a venture prove unhealthy to his financial services career? [read post]
14 Sep 2013, 4:59 pm
The results of this latest study, an annual project of Roll Call since 1990, includes a break down of financial assets and member profiles, with recent news coverage, for each of the 41 men and 9 women in this exclusive group. [read post]
9 Aug 2017, 5:30 pm
For many of these people, filing a bankruptcy case, whether under chapter 7 or chapter 13, is the best option they have to resolve their financial issues. [read post]
26 Dec 2023, 4:00 am
NONCOMPLIANCE WITH COURT’S (MULTIPLE) ORDERS WARRANTED ARRESTAfter the New York County Supreme Court issued a warrant for his arrest, VS appealed.On its review of the record, the Appellate Division, First Department, noted that there had been multiple court orders, dating back to February 2021, wherein VS was directed to transfer certain shares of stock, held by Dolfin Financial to plaintiff DS, but failed to comply.Despite multiple opportunities to relinquish the shares, the… [read post]
26 Apr 2013, 5:25 am
After promoting NII as a safe and lucrative investment opportunity to his clients, Behrens issued promissory notes offering 7% to 9% fixed returns. [read post]
20 Jul 2015, 3:15 am
Sometimes ya just can't keep all the balls in the air.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, Charles H. [read post]
30 Mar 2018, 9:40 am
As a result, after just one or two missed payments, many people are caught in a financial vice. [read post]
4 Jul 2013, 7:12 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, Phaedra Danell Spain a/k/a Phaedra Danell Bushnell MS a/k/a Phaedra Danell Bushnell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
8 Nov 2014, 2:07 pm
Brown issued a blockbuster discovery ruling which will have ramifications for insurance litigation far past Superstorm Sandy flood cases. [read post]
1 Jul 2015, 5:44 am
Within the world of Wall Street regulation, we encounter a registered spouse who is servicing the financial needs of the other spouse. [read post]
18 Jan 2021, 9:00 am
Many companies have struggled to address the cancellations without facing massive financial impact, but without proper prior planning, the last few months have been financially difficult. [read post]
