Posts tagged with: "financial+services"
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30 Nov 2009, 6:00 am
The first relates to enforcement of EEOC subpoenas and the second relates to the classification of some financial services workers. [read post]
2 May 2022, 1:37 am
Insurers affiliated with the Dutch Association of Insurers (Verbond van Verzekeraars) are already bound by disciplinary law, whereby complaints are assessed by the Financial Services Disciplinary Board. [read post]
19 Nov 2012, 8:41 am
SCM Agreement Article 1.1(a)(1)(iii) identifies the following as a "financial contribution": a government provides goods or services other than general infrastructure, ... [read post]
13 Feb 2012, 2:28 pm
The participating mortgage servicers include Bank of America, JPMorgan Chase, Wells Fargo, Citigroup, and Ally Financial. [read post]
22 Jan 2010, 6:00 am
One award went to a 95-year-old investor who accused StockCross Financial Services Inc. and two of its brokers of misconduct and self-dealing. [read post]
26 Oct 2017, 11:20 pm
This report comes as a timely reminder of the ongoing digital threats to organisations, such as those in the financial services sector, especially with the rise of innovation and financial technologies (FinTech) in this market. [read post]
7 Mar 2011, 8:48 am
The Financial Aid Office has created two new blogs to help you stay up to date on events, deadlines, and news. [read post]
28 Mar 2023, 9:03 am
According to National Adult Protective Services Association (NAPSA), only 1 in 44 cases of financial abuse ever comes to light. [read post]
4 Dec 2018, 11:15 am
” Using terms compiled from other entities, including the Federal Housing Finance Agency, Department of Housing and Urban Development, Internal Revenue Service, Department of Justice, Federal Deposit Insurance Corporation, Federal Trade Commission, Social Security Administration, Freddie Mac, Fannie Mae, General Services Administration, and National Association of Hispanic Real Estate Professionals, the updated Glossary now contains over 1,500 consumer financial… [read post]
17 Jan 2023, 9:31 am
FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
13 Nov 2023, 7:06 am
Individual Financial Coaching Appointments with Dr. [read post]
8 Jun 2016, 6:48 am
Here are the materials in United Planners Financial Services of America LP v. [read post]
2 Jul 2012, 2:29 am
“Banks faced fresh criticism about their treatment of customers on Friday after the Financial Services Authority said the big four high street banks – Barclays, RBS, Lloyds and HSBC – might need to compensate small business customers.” Full story The Guardian, 29th June 2012 Source: www.guardian.co.uk [read post]
16 Feb 2010, 12:11 pm
FINRA announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of... [read post]
19 Sep 2011, 1:20 am
“The Financial Services Authority and its Swiss counterpart have ordered a ‘comprehensive, independent investigation’ into the events surrounding trading losses at the bank’s London operations.” Full story Daily Telegraph, 17th September 2011 Source: www.telegraph.co.uk [read post]
23 Nov 2016, 6:46 am
In October 2015, the Financial Services Industry Regulatory Authority, Inc. [read post]
1 Apr 2024, 10:00 pm
Trends & Insights provides the latest in news articles and insights documents on trending areas for financial service organizations. [read post]
13 Oct 2020, 7:59 am
He also previously was a broker for Summit Brokerage Services, LPL Financial (LPLA), Lincoln Financial Advisors, and The Lincoln National Life Insurance Company. [read post]
19 Jan 2011, 6:20 am
Chris Koster, Missouri attorney general, released a report stating that owing to a “frenzy of telemarketing fraud and deception,” service contract sellers should be licensed by the state’s Department of Insurance, Financial Institutions and Professional Registration. [read post]
29 May 2024, 2:21 am
On 28 May 2024, HM Treasury (HMT) confirmed which firms have been designated under Part 8B of the Financial Services and Markets Act 2000 for the provision of cash access services. [read post]
