Posts tagged with: "financial+services"
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5 Jan 2009, 6:40 am
[JURIST] The US House of Representatives Financial Services Committee [official website] on Monday began hearings [materials] in an investigation into how the Securities and Exchange Commission (SEC) [official website] failed for years to detect the fraud scheme allegedly perpetrated by Bernard Madoff [JURIST news archive]. [read post]
25 Oct 2023, 2:21 am
It introduces new provisions for financial services contracts concluded at a distance and seeks to simplify the legislative framework, and certain articles of the CRD will also apply to financial services sold at a distance. [read post]
20 Jul 2021, 6:43 am
StockCross Financial Services, Inc. [read post]
26 Dec 2019, 7:53 am
He was a Woodbury Financial Services broker from 2006 and 2017. [read post]
11 Jan 2022, 7:03 am
The post Northstar Financial Services (Bermuda)—What Happened To All The Money? [read post]
30 Jul 2011, 6:30 am
Ever since its was revealed that federal investigators were taking a look into their mortgage foreclosure practices Lender Processing Services Inc., the company has maintained that the search would not result in numerous financial penalties by way of fines and lawsuits. [read post]
2 Nov 2020, 4:37 am
Lost Money With Fortune Financial Services Broker Richard Wesselt? [read post]
2 Nov 2020, 4:37 am
Lost Money With Fortune Financial Services Broker Richard Wesselt? [read post]
5 Feb 2018, 10:05 am
The post How To Sue IBN Financial Services for Unsuitable Investments Sold by Broker Donald Lueke appeared first on . [read post]
22 Jun 2021, 10:21 am
Congresswoman Maxine Waters (D-CA), Chairwoman of the House Committee on Financial Services, recently announced the organization of the Committee’s Digital Assets Working Group. [read post]
19 May 2021, 9:11 am
Brokers International Financial Services and Mr. [read post]
13 May 2021, 1:58 pm
Northstar Financial Services (Bermuda) History Northstar Financial Services (Bermuda) was established in 1998 as Nationwide Financial Services (Bermuda). [read post]
12 Jul 2023, 1:49 am
On 11 July 2023, HM Treasury published the Financial Services and Markets Act 2023 (Commencement No.1) Regulations 2023, a statutory instrument (SI) setting out the first commencement regulations made under the Financial Services and Markets Act 2023. [read post]
4 May 2010, 2:30 am
Financial Services Authority and Others v Amro International SA Court of Appeal “The Financial Services Authority was entitled to order production of documents from accountants at the request of the US Securities and Exchange Commission without subjecting the request to critical examination. [read post]
6 Dec 2023, 7:50 am
On 5 December 2023, HM Treasury (HMT) published an illustrative draft of the Financial Services and Markets Act 2000 (The Ombudsman Scheme) Regulations 2024, along with a Policy Note. [read post]
9 Jan 2018, 7:13 am
Continue reading The post New York-based UBS Financial Services Broker Michael Keane Under Investigation For Unsuitable Investment Recommendations appeared first on Securities Arbitration Lawyers Blog. [read post]
15 May 2023, 4:13 pm
This fall the Supreme Court will be hear a case captioned Community Financial Services of America v. [read post]
7 May 2021, 9:03 am
Morgan Securities, and Ocean Financial Services. [read post]
7 Oct 2016, 1:21 pm
Co-Authors: Josephine Cicchetti, Steven Blickensderfer Last week, New York’s Department of Financial Services released its long-awaited proposed cybersecurity regulation, which promises to deliver sweeping protections to consumers and financial institutions alike. [read post]
18 Apr 2012, 4:00 am
The American Bar Association (ABA) and the Committee on Consumer Financial Services of the ABA’s Section of Business Law have submitted comment letters on two CFPB proposals. [read post]
