Posts tagged with: "financial+services"
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26 Apr 2022, 12:32 pm
Das urged financial institutions to “remain vigilant and promptly report suspicious financial activity. [read post]
15 Apr 2010, 8:30 am
Thus the client is at least given a chance to assess the extent of his financial improvidence advance concrete. [read post]
4 Feb 2013, 6:50 am
Editor’s Note: The following post comes to us from Eric Posner, Kirkland & Ellis Distinguished Service Professor of Law and Aaron Director Research Scholar at the University of Chicago, and E. [read post]
20 Nov 2012, 7:20 am
The Consumer Financial Protection Bureau created new rules in order to supervise large debt collection firms. [read post]
6 Jul 2021, 11:06 am
The shape of a future 1033 rule will be key for setting forth the parameters for competition in consumer financial services for the next generation. [read post]
14 Mar 2022, 9:28 am
In the statement the UK financial regulatory authorities reiterate that all UK financial services firms, including the cryptoasset sector, are expected to play their part in ensuring that sanctions are complied with. [read post]
6 Jun 2011, 9:51 am
By Theodore Bush The Dodd-Frank Wall Street Reform and Consumer Protection Act established a Bureau of Consumer Financial Protection (the CFPB). [read post]
31 Aug 2023, 7:53 am
To offer your clients financial wellness plans, you do not need to look further than Countrywide Pre-Paid Legal Services. [read post]
8 Apr 2020, 2:34 am
View: Financial Ombudsman Service: Coronavirus (Covid-19): information for businesses [read post]
2 Oct 2011, 12:06 pm
According to the Commission the new tax will have progressive distributional effects, i.e. its impact will increase proportionately with income, as higher income groups benefit more from the services provided by the financial sector. [read post]
16 Apr 2020, 12:37 pm
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Jeffrey McHale (McHale), currently employed by Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least three customer complaints during the course of his career. [read post]
4 Jul 2007, 6:29 am
Fidelity National Information Services, a financial processing company, said Tuesday that a worker at one of its subsidiaries stole 2.3 million consumer records containing credit card, bank account and other personal information. [read post]
18 Jan 2023, 11:38 am
On September 9, 2022, the California Department of Financial Protection and Innovation (DFPI) proposed to amend its student loan servicing regulations, which we previously covered here. [read post]
12 Apr 2011, 4:17 am
The Superintendent of Financial Services is granted enforcement and regulatory authority over financial products and services. [read post]
5 Jun 2020, 12:19 pm
FINRA Accuses SunTrust Investment Services of Failing to Properly Supervise Brokers The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust to pay $634K to settle charges accusing the broker-dealer of not properly supervising 17 of its brokers when they recommended that customers hold non-traditional exchange-traded funds (ETFs) for long periods–a practice that can lead to losses especially when there is market volatility. [read post]
11 May 2022, 11:15 am
UBS Financial Services is suing former financial adviser Robert Turner of Waco, Texas for alleged misappropriation of over $17 million from at least 23 customers over a 24-year period. [read post]
3 Oct 2011, 2:30 pm
The Financial Ombudsman Service has published its approach to calculating loss in financial advice disputes referred to it. [read post]
18 Jan 2012, 1:26 pm
As part of his practice, he represents financial service companies as they navigate federal laws overseen by the Securities and Exchange Commission. [read post]
6 Feb 2019, 4:41 am
On 5 February 2019, HM Treasury published a draft of the Financial Services (Miscellaneous) (Amendment) (EU Exit) Regulations together with an explanatory memorandum. [read post]
4 Feb 2021, 6:22 am
Ballard Spahr attorney Alan Kaplinsky hosts the conversation with Chris Willis, Co-Chair of Ballard Spahr’s Consumer Financial Services Practice Group, and Dan McKenna, Practice Leader of Consumer Financial Services Litigation at the firm. [read post]
