Posts tagged with: "financial+services"
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15 Feb 2025, 6:17 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vipul Talati (Talati), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. [read post]
4 Oct 2018, 12:49 pm
On September 28, 2018, the Maryland Commissioner of Financial Regulation issued a notice advising companies servicing student loans of Maryland borrowers to provide their contact information to the state’s new Student Loan Ombudsman by November 15, 2015. [read post]
18 Jun 2009, 2:25 am
On June 16, 2009, the United States Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises (the “Subcommittee”) held a hearing regarding how to improve oversight of the insurance industry in order to protect insurance consumers and prevent insurance companies from posing a systemic risk to the American financial system.According to Representative Paul E. [read post]
9 Feb 2012, 2:40 pm
Ropiequet was a contributor of two articles in the Winter 2011 issue of the ABA Business Law Section’s Consumer Financial Services Newsletter. [read post]
31 Dec 2020, 8:31 am
The organization provides services to 26 counties. [read post]
30 Jun 2016, 5:00 am
Seniors can find themselves the victim of financial exploitation in a number of ways, including: Sales scams, perpetrated over the telephone or in person Being overcharged for services Being charged for services that are not necessary Theft of items from the home Misuse of discretionary funds given to a caregiver Misuse of funds diverted to a payee other than the senior Theft of funds from a bank account Unfortunately, seniors often make excellent victims for the… [read post]
6 Nov 2011, 8:58 pm
ASIC has released new financial requirements for responsible entities (REs) of managed investment schemes in Class Order (CO 11/1140) and updated versions of Regulatory Guide 166 Licensing: Financial requirements (RG 166) and Pro Forma 209 Australian financial services licence conditions (PF 209). [read post]
20 Feb 2019, 12:01 pm
Central Time, in Seyfarth’s second installment of its 2019 Trade Secrets Webinar Series, Seyfarth attorneys will focus on trade secret and client relationship considerations in the banking and financial services industry. [read post]
12 Jan 2023, 8:20 am
In promulgating this proposed rule, the CFPB relies on its CFPA mandate to monitor for risks to consumers in consumer financial products and services, and to conduct a risk-based supervision program for nonbanks (see CFPA §§ 1022(c) and 1024(b)). [read post]
24 Feb 2012, 4:49 am
House Financial Services Committee: New Bill Would Exempt Newly Public Companies from Say-on-Pay for 5 Years Earlier this week, I blogged about a quartet of bills that the House Financial Services Committee approved. [read post]
5 Nov 2018, 10:00 am
Sign up for a service that tracks financial activity and notifies you of any unusual withdrawals or changes in spending habits. [read post]
7 Mar 2025, 7:39 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Murphy (Murphy), previously associated with Truist Investment Services, Inc., has at least 2 disclosable events. [read post]
22 Apr 2025, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilson Kwok (Kwok), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. [read post]
17 Apr 2025, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Thalacker (Thalacker), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. [read post]
15 Apr 2025, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amanda Wiggins (Wiggins), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. [read post]
28 May 2025, 6:30 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anson Cheong (Cheong), currently associated with Cetera Investment Services LLC, has at least one disclosable event. [read post]
28 May 2025, 6:12 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leo Chien (Chien), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. [read post]
27 May 2025, 6:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Candace Huston (Huston), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. [read post]
27 May 2025, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Salinas (Salinas), currently associated with Avantax Investment Services, INC., has at least one disclosable event. [read post]
27 May 2025, 6:16 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mesquit (Mesquit), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. [read post]
