Posts tagged with: "financial+services"
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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]
29 Nov 2024, 8:32 am
Firms authorised under the Financial Services and Markets Act 2000, such as banks, who may be providing services to unregistered cryptoasset firms. [read post]
18 Jan 2023, 2:02 pm
The New York Department of Financial Services (DFS) recently issued proposed guidance (Guidance) related to climate change that applies to New York State-regulated banking organizations, New York State-licensed branches and agencies of foreign banking organizations, and New York State-regulated mortgage ... [read post]
21 Apr 2014, 5:55 am
Tina ShinAs we previously reported, the House of Representatives Financial Services Committee held a hearing on the effects of regulatory “red tape. [read post]
28 May 2010, 6:09 am
The New UK "Financial Services Act 2010" Makes Significant Reforms On the heels of the passing of "The Financial Services Act 2010," the United Kingdom's new coalition government announced that it will not disband the Financial Services Authority - sparing the country's financial regulator from abolishment. [read post]
17 Mar 2016, 6:28 am
The post Debt Collectors LTD Financial Services, L.P. and Advantage Assets II, Inc. [read post]
17 Mar 2016, 6:28 am
The post Debt Collectors LTD Financial Services, L.P. and Advantage Assets II, Inc. [read post]
17 Mar 2016, 6:28 am
The post Debt Collectors LTD Financial Services, L.P. and Advantage Assets II, Inc. [read post]
7 Jun 2015, 1:17 pm
Here are my top six reasons why a career as a financial planner is an ideal match for many women: [read post]
4 Nov 2022, 8:35 am
On 4 November 2022, HM Treasury published the Financial Services and Markets Bill, as amended in Public Bill Committee. [read post]
23 Feb 2025, 6:17 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendell Verdell (Verdell), currently associated with Woodmen Financial Services, Inc., has at least one disclosable event. [read post]
