Posts tagged with: "financial+services"
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15 May 2014, 11:46 am
Credit Suisse AG, a Swiss corporation, operates a global financial services business in more than 50 countries with over 45.000 employees, including 9.000 U.S. employees. [read post]
19 Feb 2013, 7:00 am
Kalos Financial Services Inc., Ark. [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) New York Securities Fraud Ruling Threatens US White-Collar Cases (Bloomberg Law by Ben Penn) DOJ RELEASES Idaho I.T. [read post]
17 Sep 2022, 9:15 am
Ungerleider, Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council / FINRA and We Have Skin in the Game (BrokeAndBroker.com Blog)Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft ChargeIn the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)FINRA Censures and Fines IBN Financial Services, Inc. for OBA SupervisionIn the… [read post]
5 Sep 2013, 12:59 pm
Wright also acted as rapporteur on the De Larosière Committee on financial services reform and represented the European Commission in international fora such as the FSB and G20.SIFMA CEO and former U.S. [read post]
13 Feb 2023, 3:30 am
Calling All Unreasonable Financial Professionals: a personal message from Bill Singer Esq (BrokeAndBroker.com Blog) Notice Regarding Paxos-Issued BUSD (Consumer Alert / New York State Department of Financial Services) DOJ RELEASES SEC RELEASES SEC Obtains Court Order for Partial Asset Freeze and Other Temporary Relief in Fraud Action Against Microcap Public Company and CEO (SEC Release) Kraken to Discontinue Unregistered Offer… [read post]
19 Jun 2018, 5:25 am
And then promptly loses its financial services co-chair to Debevoise. [read post]
3 May 2019, 5:15 am
Today’s article pertains to the Financial Technology (FinTech) industry, which is defined as technology used to support banking and financial services. [read post]
4 Jun 2022, 5:57 am
Harris, New York State Superintendent of Financial Services / June 8, 2022)Reality TV stars convicted of fraud and tax evasion (DOJ ... [read post]
26 Aug 2013, 3:30 am
(Note: This guest blog is by Ashley Smith, a recent law graduate clerking in our Tampa, Florida, office) The New York Department of Financial Services provides New York insureds a way to grade their insurance companies. [read post]
31 Jan 2014, 2:10 am
Brooks was first registered in 1996 with FINRA member firm Ameriprise Financial Services, Inc. [read post]
2 Oct 2015, 6:56 am
’ The addition of ‘Capital’ and ‘Management’, instead, simply flesh out exactly what financial services are offered by” the plaintiff. [read post]
15 Jun 2018, 2:02 am
AwardFINRA Office of Dispute ResolutionIn the Matter of the Arbitration Between:Claimant Case Number: 17-03288, June 13, 2018Eric Todd HarrisVS.Respondent Hearing Site: Tampa, FloridaMSI Financial Services, Inc.Nature of the Dispute: Associated Person vs. [read post]
19 Jun 2010, 10:40 am
Spencer Bachus, Ranking Member on the Financial Services Committee, that would create an office at the SEC to handle whistleblower provisions in the base conference bill. [read post]
7 Jan 2012, 7:54 am
The Florida Department of Financial Services, Division of Agent and Agency Services, announced several important changes regarding appointments in Florida and its eAppoint system. [read post]
11 Apr 2018, 8:59 am
The proposed Digital Services Tax Directive explicitly exempts from (2) the supply by trading venues and systematic internalisers (SIs) of any of the services referred to points (1) to (9) of Section I of Annex I to Directive 2014/65/EU on markets in financial instruments (MiFID II). [read post]
18 Aug 2015, 4:55 am
It did this in the Master Service Agreement. [read post]
3 Dec 2021, 12:37 pm
GWG Holdings (GWGH) is a Texas-based financial services firm that offers alternative investments, life insurance, and other services. [read post]
1 Oct 2014, 10:46 am
Importantly, the system as viewed and approved of by the Santomenno court is one in which the actual plan fiduciaries bear financial liability if they don’t use the power granted to them by the vendor to police fees and expenses, thereby resulting in excessively high expenses. [read post]
9 Jan 2023, 5:43 am
In respect of this delegated act the ESAs are requested to specify the relevant indicators of a qualitative and quantitative nature of each of the four criteria to determine criticality of third-party service providers as set out in DORA and including: The systemic impact on the stability, continuity or quality of the provision of financial services in the event that a critical third-party service provider would face a large-scale operational failure to provide… [read post]
