Posts tagged with: "financial+services"
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17 Apr 2025, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Fryer (Fryer), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. [read post]
17 Apr 2025, 6:16 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Noble (Noble), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. [read post]
17 Dec 2013, 8:18 am
With my colleagues Peter Stein and Dean Singewald II, I recently coauthored an advisory for employers in the financial services industry: Dodd-Frank Standards Proposed for Assessing Diversity Policies and Practices of Covered Entities in the Financial Services Industry. [read post]
17 Dec 2013, 8:18 am
With my colleagues Peter Stein and Dean Singewald II, I recently coauthored an advisory for employers in the financial services industry: Dodd-Frank Standards Proposed for Assessing Diversity Policies and Practices of Covered Entities in the Financial Services Industry. [read post]
1 Mar 2025, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Grason was employed by UBS Financial Services Inc. at the time of the activity. [read post]
24 Nov 2023, 2:33 am
On 23 November 2023, UK Finance published a report on the impact of artificial intelligence (AI) in financial services, including opportunities, risks and policy considerations. [read post]
16 Sep 2013, 4:00 am
MishkinAlthough the House Financial Service Committee’s hearing last Thursday was entitled “The Semi-Annual Report of the Consumer Financial Protection Bureau,” the contents of the report received little mention from committee members. [read post]
30 Mar 2009, 1:16 pm
FBL Financial Services, Inc., No. 08-441, a case regarding the burden of proof in “mixed motive” cases under the Age Discrimination in Employment Act (ADEA). [read post]
29 Nov 2022, 10:30 pm
(Viceroy Research Partnership LLC and Others against Financial Sector Conduct Authority Financial Services Tribunal, case numbers A45/A46/A47/A48/2021: Decision 15 November 2022). [read post]
21 Jan 2025, 1:26 am
On 20 January 2025, the House of Lords Financial Services Regulation Committee published a letter dated 17 January 2025 that it received from Nikhil Rathi, Chief Executive of the Financial Conduct Authority (FCA), regarding motor finance commission. [read post]
17 Feb 2025, 6:15 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Young (Young), currently associated with Ameriprise Financial Services, LLC, has at least 5 disclosable events. [read post]
17 Feb 2025, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Felsenfeld (Felsenfeld), currently associated with Ameriprise Financial Services, LLC, has at least 4 disclosable events. [read post]
8 Apr 2025, 6:20 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Cox (Cox), currently associated with UBS Financial Services Inc., has at least one disclosable event. [read post]
15 Nov 2021, 5:00 am
While automotive topped the list, financial services was ranked third, up from fifth place last year. [read post]
6 Sep 2019, 10:03 am
The Committee on Financial Services will hold a hearing entitled “A $1.5 Trillion Crisis: Protecting Student Borrowers and Holding Student Loan Servicers Accountable. [read post]
26 Apr 2011, 3:09 am
British Bankers’ Association v Financial Services Authority and another [2011] EWHC 999 (Admin); [2011] WLR (D) 144 “The Financial Services Authority was not contrained by the existence of statutory powers in section 404 of the Financial Services and Markets Act 2000 from using other powers to deal with what it perceived as the widespread mis-selling of payment protection insurance (PPI) policies by banks. [read post]
27 Feb 2024, 9:16 am
On 20 February 2024, the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2024 (the Order) was published, along with an explanatory memorandum. [read post]
19 Jul 2012, 11:45 am
Covino worked at Prospera Financial Services prior to his suspension, and had previously worked at LPL Financial and VSR Financial Services. [read post]
16 Jun 2011, 10:15 am
The House Appropriations Committee FY 2012 financial services bill includes $1.2 billion for the SEC, which is equal to last year’s level and $222 million below the President’s request. [read post]
18 Oct 2022, 8:59 am
On 17 October 2022, HM Treasury published a draft of the Financial Services (Miscellaneous Amendments) Regulations 2022. [read post]
