Posts tagged with: "financial+services" Results 41 - 60 of 63,880
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12 Sep 2018, 7:51 am by Fitapelli Kurta
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that a group of investors have won an award of $300,000 in an arbitration claim against UBS Financial Services concerning investments in Puerto Rico closed-end funds. [read post]
28 Jan 2015, 12:48 pm by Barbara S. Mishkin
Mishkin The Financial Services Roundtable and CFPB are joining forces in a nationwide public-private initiative to promote effective financial education. [read post]
7 Aug 2018, 12:48 pm by Daily Record Staff
Dan Altman has joined the Pikesville office of Homebridge Financial Services Inc. as a mortgage loan originator. [read post]
8 Jun 2010, 8:18 am by By DEALBOOK
A handful of lobbying firms have dominated the business of representing financial services firms in their efforts to battle an overhaul of regulations governing the industry, according to an analysis by the Center for Public Integrity. [read post]
29 Oct 2015, 11:30 am by D Daniel Sokol
Evans, University of New South Wales (UNSW) Faculty of Law; ThinkEvans Pty Ltd, Deborah Healey, University of New South Wales (UNSW) - Faculty of Law, Marina Nehme, UNSW Australia and Rob Nicholls examine Competition in Financial Services. [read post]
12 Jan 2018, 2:37 am by Amanda Sanders
On 7 March 2016 the Senior Managers and Certification Regime (SM&CR) was introduced to improve accountability in the financial services sector. [read post]
14 Jan 2019, 1:10 pm by Silver Law Group
John Maloney (CRD #726108) has been employed by Woodbury Financial Services Inc. since June 2016. [read post]
12 Jun 2017, 7:43 am by Fitapelli Kurta
Fitapelli Kurta is interested in speaking to investors who have complaints regarding CUSO Financial Services (CRD# 42132). [read post]
14 Aug 2018, 6:13 am by Andrew Stoltmann
Stoltmann Law Offices continues to investigate Anthony Diaz, a broker with IBN Financial Services in Pennsylvania. [read post]
31 Aug 2017, 8:27 pm by Sabrina I. Pacifici
World Economic Forum – Beyond Fintech: A Pragmatic Assessment Of Disruptive Potential In Financial Services – Part of the Future of Financial Services series | Prepared in collaboration with Deloitte August 2017. [read post]
10 Sep 2014, 3:46 pm by Sabrina I. Pacifici
“Cyberattacks targeting financial services firms are on the rise, but are these organizations doing enough to protect business and customer data? [read post]
7 Mar 2012, 6:24 am
The Law Library has just purchased access to the Financial Services Law Library database. [read post]
25 Mar 2014, 3:14 pm by Sabrina I. Pacifici
” See Consumers and Mobile Financial Services 2014 - March 2014 The post Federal Reserve survey provides information on mobile financial services appeared first on beSpacific. [read post]
20 Apr 2010, 3:35 pm by Securites Lawprof
More from the House Financial Services Hearing today on the Lehman Examiner's Report: Treasury Secretary Tim Geithner Written Testimony before the House Financial Services Committee Treasury Secretary Tim Geithner Opening Statement as Prepared for Delivery before the House Committee on... [read post]
2 Jan 2019, 12:14 pm by Fitapelli Kurta
Previous registrations include Merrill Lynch in Hingham, Massachusetts (2008-2013) and UBS Financial Services in Boston, Massachusetts (2000-2008). [read post]
7 Jul 2009, 6:44 am
UK Financial Services Secretary Criticizes EU Fund Manager Directive ProposalPaul Myners, the UK Financial Services Secretary to the Treasury, said that European Commission's Alternative Investment Fund Managers draft directive is a "flawed" document that requires "major surgery. [read post]
20 Jun 2017, 10:15 am by Fitapelli Kurta
Fitapelli Kurta is interested in speaking to investors who have complaints regarding MSI Financial Services (CRD# 14251). [read post]