Posts tagged with: "financial+services"
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16 May 2025, 7:20 am
The Financial Conduct Authority (FCA) has published the Financial Lives 2024 survey. [read post]
27 Jul 2022, 8:27 am
The Consumer Financial Protection Bureau (CFPB) is “encouraging” student loan servicers to identify their military borrowers in order to conduct proactive outreach encouraging them to consolidate their loans and submit applications for forgiveness under the Public Service Loan Forgiveness Program (PSLF). [read post]
28 Apr 2014, 8:17 am
The Financial Industry Regulatory Authority (FINRA) recently fined Colorado Financial Service Corporation (Colorado Financial) concerning allegations that the firm violated NASD Rule 3010, and FINRA Rule 2010, among other violations, by failing to establish, maintain, and enforce supervisory procedures reasonably designed to ensure compliance with the securities rules pertaining to the supervision of electronic communications and due diligence review of new… [read post]
27 Nov 2018, 5:36 am
In February 2018 Kujawski was terminated by UBS Financial Services, Inc. [read post]
10 Nov 2009, 8:26 pm
I answered a Linkedin question today about the lack of marketing use of social media by financial planners. [read post]
10 Nov 2009, 8:26 pm
I answered a Linkedin question today about the lack of marketing use of social media by financial planners. [read post]
2 Mar 2023, 8:51 am
Countrywide Pre-Paid Legal Services has a financial wellness benefit that seeks to assist people in managing their money affairs. [read post]
10 Sep 2009, 12:17 pm
According to the DEA, a former Owner of Chilean Financial Services Company was sentenced in Manhattan Federal Court for Violating U.S. [read post]
7 Nov 2023, 3:02 am
What Is a Financial Remedy Order? [read post]
17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
13 Mar 2019, 3:05 am
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to our Brexit resources) on our Brexit Pathfinder hub. [read post]
27 Mar 2019, 8:42 am
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to our Brexit resources) on our Brexit Pathfinder hub. [read post]
27 May 2012, 12:21 pm
ASIC has refused relief from the requirement to obtain express consent before delivering financial services disclosures online. [read post]
30 Jan 2008, 1:59 am
Trademark Trial and Appeal Board reversed refusals to register the marks SUGAR NO. 1 1 , SUGAR NO. 14, and COTTON NO. 2, finding the marks not merely descriptive of "financial services, namely, futures exchange and related commodity trading services. [read post]
22 Nov 2011, 5:29 am
This updates our June 29, 2011 blog posting.On November 21, 2011, New York Superintendent of Financial Services Benjamin M. [read post]
16 Apr 2009, 10:13 am
ABC Financial Services will pay $20,000 to settle a pregnancy discrimination lawsuit brought by the U.S. [read post]
23 Jun 2022, 3:36 pm
”[3] As one Ohio district court has recently put it: “In short, the TVPA makes it illegal for a company [ ] to leverage serious financial pressure or threats of inappropriate legal action against [its employee] in a way that would press a reasonable [person] in her position into its service. [read post]
24 Jan 2018, 3:35 pm
The February briefing will discuss the latest hot issues in financial services and will include a discussion of Ohio v. [read post]
22 Feb 2021, 8:38 am
Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. [read post]
8 Jan 2015, 10:56 am
Mishkin The CFPB continues to seek comments on its plans to launch in the winter of 2015 what it describes as “a multi-site financial education demonstration project to provide one-on-one and group financial counseling/coaching services to individuals with disabilities transitioning into the workplace or already employed. [read post]
