Posts tagged with: "financial+services"
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16 Feb 2010, 1:34 am
If you need help with filing your annual financials, please contact Mallon P.C. for further information on our commodities and futures compliance services. **** Other related NFA compliance articles include: CFTC Provides Annual Guidance to CPOs CFTC Amends CPO Reporting Requirements CTA Regulatory and Compliance Discussion CTA and CPO Registration and Compliance Guide Series 3 Exam Bart Mallon, Esq. runs the Hedge Fund Law Blog and provides hedge fund information and… [read post]
18 Sep 2017, 12:04 pm
This past January, the CFPB filed a lawsuit against TCF National Bank in Minnesota federal district court that alleged that the bank, in connection with offering overdraft services, violated the Consumer Financial Protection Act’s UDAAP prohibition and Regulation E (which implements the Electronic Funds Transfer Act). [read post]
4 Nov 2014, 6:15 am
On October 10, 2014, the Delaware Court of Chancery issued a decision awarding nearly $76 million in damages against a seller’s financial advisor. [read post]
4 May 2015, 8:11 am
The post Aronberg & Aronberg Receives Award for Excellence in Legal Services! [read post]
28 Aug 2020, 8:55 pm
This includes senior management and those in legal, compliance and risk teams who have or are developing financial services expertise. [read post]
2 Oct 2020, 4:24 am
We are evolving our successful 40-minute briefings into webinars for financial services professionals. [read post]
6 Sep 2018, 8:07 am
Risks noted include automated algorithms being manipulated maliciously, and legal disputes being facilitated by the unclear allocation of liability; barriers preventing the development of automation in financial services include the lack of digital (financial) literacy of some consumers, and the complexity of the applicable regulation governing the field (MiFID II / MiFIR, GDPR etc.); and typically, automated services are being offered, through partnerships, by… [read post]
9 Jun 2023, 10:09 am
But the fact that a claim may have a financial impact does not render it fundamentally a monetary claim. [read post]
13 May 2009, 7:16 am
The site provides an online tutorial of the types of financial assistance available to established small businesses.http://www.sba.gov/services/financialassistance/index.htmlDaniel H. [read post]
11 Sep 2019, 5:33 pm
Among them is the Turkish-based Redin Exchange for materially assisting, sponsoring, or providing financial, material, or technological support for, or goods or services to, HAMAS. [read post]
11 Sep 2019, 5:33 pm
Among them is the Turkish-based Redin Exchange for materially assisting, sponsoring, or providing financial, material, or technological support for, or goods or services to, HAMAS. [read post]
23 Aug 2012, 7:57 am
According to a recent survey of 2,649 financial planners conducted by the nonprofit organization Certified Financial Planner Board of Standards, seniors who become victims of financial abuse lose an estimated $104,500. [read post]
25 Nov 2014, 6:41 am
Last month, the CFPB released the fifth edition of its Supervisory Highlights report describing findings from recent examinations of consumer financial products and services providers. [read post]
28 Apr 2011, 6:10 pm
• A prospective ban on any form of payment relating to volume or sales targets from any financial services business to dealer groups, authorised representatives or advisers, including volume rebates from platform providers to dealer groups. [read post]
7 Jan 2021, 11:53 am
The White Law Group is investigating potential securities claims involving Kestra Investment Services (CRD# 42046, Austin, Texas) Kestra Investment Services LLC is a national financial advisory firm headquartered in Austin, Texas. [read post]
10 Mar 2015, 12:47 pm
Hirsh Distinguished Service Award The Kenneth J. [read post]
10 Sep 2013, 5:41 am
Does Facebook offer financial or other incentives to online providers to choose Facebook as the gateway to their services? [read post]
21 Jan 2021, 6:58 am
Between February and October 2016, while associated with MSI Financial Services, Hammond participated in at least 14 private securities transactions totaling $1,638,000 without providing written notice to his firm. [read post]
22 Dec 2011, 9:00 am
Note that a certificate of service is filed with the court, but normally the parties will not file the financial declaration and attachments with the court until the documents are needed. [read post]
24 Sep 2014, 10:31 am
I do not mean to minimize those deaths and illnesses with a comparison to mortgage servicing--although to be sure, poor mortgage servicing has tragic financial consequences. [read post]
