Posts tagged with: "financial+services"
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23 Oct 2009, 9:07 am
The House Financial Services Committee on Thursday voted to approve the Consumer Financial Protection Agency Act, HR 3126. [read post]
30 Jun 2011, 3:23 am
Your utility services are constantly being turned off:you live under constant stress of coming home to darkness and in some extreme cases, your water service may be disconnected as well. 6. [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]
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]
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]
28 Dec 2017, 8:50 am
Financial Welfare of Beneficiaries is Protected Financial planning is not for the living alone. [read post]
9 Mar 2018, 7:21 am
The UK Government has issued a statement confirming that it will guarantee Gibraltar financial services firms’ access to UK markets as now until 2020. [read post]
26 Nov 2018, 6:30 am
On 23 November 2018, the House of Commons’ Treasury Select Committee launched an inquiry which will focus on the common causes of operational incidents in the financial services sector, the ways in which consumers lose out as a result of such incidents, and whether regulators have the relevant skills to adequately hold people to account. [read post]
15 Dec 2022, 8:00 am
Countrywide will provide member services and streamlined administration. [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]
25 Dec 2022, 9:03 pm
On the other side of the political aisle, the Labour party’s financial services spokesperson, Tulip Siddiq, argued that the reforms were a part of a “race to the bottom. [read post]
11 Oct 2007, 12:41 am
ASIC has released two regulatory guides about the general obligations of Australian financial services (AFS) licensees under s912A of the Corporations Act . [read post]
23 Aug 2019, 8:17 am
A Baltimore financial services company is absorbing the financial planning business of a California company that is changing its strategy. [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 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]
10 Apr 2025, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cole Fleming (Fleming), currently associated with Equity Services, Inc., has at least one disclosable event. [read post]
9 Apr 2025, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Falzone (Falzone), currently associated with Equity Services, Inc., has at least one disclosable event. [read post]
24 Feb 2025, 6:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Linden (Linden), currently associated with Equity Services, Inc., has at least one disclosable event. [read post]
14 Jun 2011, 1:38 am
A specimen that shows only the mark, without referring to the services, is a dud.Applicant's original email made no reference to its banking and financial services. [read post]
7 Sep 2023, 8:18 am
Countrywide Pre-Paid Legal Services has an outstanding financial wellness program that puts plan members first. [read post]
