Posts tagged with: "financial+services" Results 21 - 40 of 63,871
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12 Jun 2017, 7:02 am by Fitapelli Kurta
According to the firm’s BrokerCheck report, Sterne Agee Financial Services was recently sanctioned by FINRA. [read post]
11 Jun 2014, 12:30 pm by Tina Shin
The CFPB will also be holding a field hearing on mobile financial services tomorrow. [read post]
23 Oct 2019, 8:50 pm by Daily Record Staff
Jason Lowy, senior vice president of wealth management in the Hunt Valley office of UBS Financial Services Inc., was named to the Financial Times’ 2019 list of 401 Top Retirement Advisers. [read post]
6 Sep 2018, 11:40 am by Fitapelli Kurta
Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ameriprise Financial Services (CRD# 6363). [read post]
4 Jul 2012, 12:05 pm by James Hamilton
Wolters Kluwer Financial Services will host a web seminar on July 16, 2012, from 3-4 PM, on managing the complexities of European Union financial regulation and what UKfirms need to know right now to manage comply with financial regulations. [read post]
18 Sep 2011, 9:20 am by Securites Lawprof
Bankers, Bureaucrats, and Guardians: Toward Tripartism in Financial Services Regulation, by Saule T. [read post]
23 Nov 2009, 11:52 am by David Jacobson
The Parliamentary Joint Committee on Corporations and Financial Services (chaired by Bernie Ripoll MP) has released its report into the issues associated with recent financial product and services provider collapses, such as Storm Financial, Opes Prime and other similar collapses, with particular reference to: the role of financial advisers; the general regulatory environment for these products and services; the role played by… [read post]
30 Nov 2015, 9:19 am by Kevin D. Leitão and Juliana D. Gerrick
For example, the report notes the costs involved in providing mobile financial services – both to financial services providers and to consumers. [read post]
5 Oct 2015, 10:43 am by TEI Expert
The financial incentives for the capital markets associates that create and manufacture the financial products are driven by dollar volume. [read post]
30 Mar 2016, 4:46 pm by Sabrina I. Pacifici
” Consumers and Mobile Financial Services 2016 PDF March 30, 2016. [read post]
17 Mar 2011, 4:25 am by Tom Kosakowski
The International Network of Financial Services Ombudsman Schemes will hold its sixth annual meeting in Vancouver, British Columbia on September 19-22, 2011. [read post]
4 Apr 2015, 4:02 pm by Sabrina I. Pacifici
Financial Analysis of United States Postal Service Financial Results and 10 – K Statement Fiscal Year 2014, April 1, 2015 – “In FY 2014, the Postal Service recorded its eighth consecutive financial loss, bringing the total net deficit since FY 2007 to $51.7 billion. [read post]
2 Dec 2009, 6:41 pm
Today, the House Financial Services Committee approved legislation that, according to its press release, will put an end to “too big to fail” financial firms, help prevent the failure of large institutions from becoming a systemwide crisis, and ensure that... [read post]
3 Dec 2009, 2:40 pm
Yesterday the House Financial Services Committee completed its work on a comprehensive set of reforms intended to modernize America’s financial regulations. [read post]
6 Feb 2020, 12:59 pm by Sabrina I. Pacifici
Transforming Paradigms – A Global AI in Financial Services Survey: “This report presents the findings of a global survey on AI in Financial Services jointly conducted by the Cambridge Centre for Alternative Finance (CCAF) at the University of Cambridge Judge Business School and the World Economic Forum in Q2-Q3 2019. [read post]
31 Dec 2014, 8:59 am by rexsecuritieslaw
On July 24, 2014, KMS Financial Services entered into a consent order with the State of Florida-Department of Financial Services in which the State of Florida agreed to license KMS Financial Services and KMS Financial Services agreed to be placed on probation and pay $8,000 in administrative costs. [read post]
25 Oct 2010, 8:45 am by JA Hodnicki
ABSTRACT: This paper examines the application of Sherman Section 2 to systemic financial service institutions and concludes that a systemic financial... [read post]
23 Jun 2017, 7:42 am by Fitapelli Kurta
According to the firm’s BrokerCheck report, IBN Financial Services has received three regulatory sanctions. [read post]
11 Dec 2017, 2:07 pm by Silver Law Group
Stoffels CRD# 5891072 Silver Law Group is investigating former Dallas, Texas UBS Financial Services broker Clint H. [read post]
5 Nov 2009, 11:10 am
House Financial Services Committee Passes Legislation Reforming SEC, PCAOB and SIPC OversightThe House Financial Services Committee has passed legislation reforming the SEC to strengthen its powers, better protect investors, and efficiently and effectively regulate the securities markets. [read post]