Posts tagged with: "financial+services"
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17 Feb 2010, 7:13 pm
The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000 for failing to put in place the proper system to supervise its reverse convertible notes (RCN) sales to retail clients. [read post]
10 May 2010, 5:00 am
Introduction “Pay-to-play” concerns in the financial services industry were placed under a spotlight in 2009 as a result of scandals highlighted by an investigation of the New York State Common Retirement Fund (“NY Retirement Fund”), the third largest public fund in the United States. [read post]
6 Feb 2017, 4:24 pm
EFF recently received dozens of pages of documents in response to a FOIA request we submitted about Operation Choke Point, a Department of Justice project to pressure banks and financial institutions into cutting off service to certain businesses. [read post]
9 Dec 2016, 7:25 am
Finally, from January 2012 until November 2016 Kievman was associated with Ameriprise Financial Services, Inc. out of the firm’s Westlake Village, California office location. [read post]
3 Sep 2014, 10:16 am
On September 30, 2014, the Centers for Medicare & Medicaid Services (CMS) will for the first time publish Open Payments (“the Sunshine Act”) data. [read post]
11 Feb 2022, 8:05 am
Sources: https://www.nycbar.org/get-legal-help/article/family-law/child-support-modification/ https://www1.nyc.gov/assets/hra/downloads/pdf/services/child_support/noncustodial_parents.pdf https://childsupport.ny.gov/dcse/pdfs/CSSA.pdf [read post]
28 Mar 2012, 7:33 am
According to the reports, Wicks was a registered representative with MetLife Financial Services at the time of the fraud. [read post]
17 Aug 2008, 5:01 am
Layoff considerations Civil Service Law Sections 80 and 81-A; Education Law Sections 2510; 3013 The financial difficulties faced by the State and its political subdivisions has generated concern that public employers may have to abolish jobs resulting in layoffs. [read post]
1 Mar 2022, 3:57 am
First Half 2022 Financial Results from Nuix appeared first on ComplexDiscovery. [read post]
12 May 2017, 2:08 pm
waldryanoI don’t know when Congress decided that every piece of legislation had to have a nifty acronym, but the House Financial Services Committee recently passed (on a partisan basis) what old-fashioned TV ads might have called the new, improved version of the “Financial CHOICE Act”. [read post]
9 May 2014, 1:36 pm
” Finally, the court scheduled a hearing on June 20, 2013, at which time the court would review the progress of the home repairs and determine whether Doe was financially capable of paying for the ordered services. [read post]
22 Dec 2020, 10:02 am
Alame has been affiliated with Insight Advisors, LLC in Newtown, Pennsylvania, and Gate Key Financial, L.L.C., in Raleigh, North Carolina. [read post]
1 Mar 2014, 4:52 pm
” The lack of regulation has allowed incompetence and abuses by tax preparers to flourish, putting consumers at risk of audit by the Internal Revenue Service (IRS) or even criminal sanctions. [read post]
1 Dec 2006, 7:37 am
Legislation and regulators are increasingly catching up to the evolution of Web-based business practices and businesses involved in financial... [read post]
30 Sep 2013, 9:56 am
Client service presentation slides 2013 from Jayne Navarre [read post]
17 Feb 2018, 1:55 pm
Consumers have responded with high demand for new financial products and services, which are increasingly offered via digitally-enabled business models. [read post]
14 May 2019, 8:00 am
A primary financial wellness service we provide is a budget analysis. [read post]
24 Oct 2017, 9:38 am
The remaining limitation on the services’ ability to recall retired service members is financial: The amendment specifies that it is “subject to the availability of appropriations. [read post]
21 Jul 2018, 3:08 pm
Taxation of interest rates is a key element of the estate financial planning strategy. [read post]
22 Nov 2023, 8:02 am
For further updates on regulatory developments in the ESG space please visit our Financial Services Regulatory Developments in ESG hub. [read post]
