Posts tagged with: "financial+services"
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9 Dec 2020, 7:59 am
The post Michael Edward Magill, Former Foreside Fund Services Advisor Barred from Securities Industry appeared first on The White Law Group. [read post]
7 Sep 2021, 6:23 am
If this proposal becomes law and Medicare begins to cover dental benefits, it would likely have major implications on the practice of dentistry, both administratively and financially. [read post]
7 Dec 2022, 12:58 pm
Internal Revenue Service. [read post]
15 May 2019, 1:24 pm
According to BrokerCheck records financial advisor Brian Thomas (Thomas), currently employed by Harbor Financial Services, LLC (Harbor Financial) has been subject to at least six customer complaints during the course of his career. [read post]
4 Feb 2020, 8:12 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Dennis Nakamura (Nakamura), formerly employed by McNally Financial Services Corporation (McNally Financial) has been subject to at least five customer complaints and one regulatory action during the course of his career. [read post]
6 Dec 2022, 8:00 am
This can also be known as “unbundling” legal services. [read post]
22 Feb 2021, 7:29 am
Companies providing digital currency services, like all financial service providers, should be aware of sanctions risks associated with providing such services. [read post]
7 Feb 2011, 4:23 am
Jay Cohen, formerly of Bryn Mawr, was found to have duped older Pennsylvanians by offering services described in promotional materials as “non-legal, financial and estate-planning services” and claimed he was an accredited “certified senior advisor. [read post]
7 Oct 2007, 8:27 am
CPA firms - we're aware - provide more than just traditional accounting and auditing services. [read post]
26 Nov 2021, 8:40 pm
The project follows the ‘sandbox’ approach, allowing for temporary derogations from certain requirements under the EU’s financial services legislation. [read post]
7 Jun 2012, 5:00 am
Dale Brown, President and Chief Executive Officer, Financial Services Institute Mr. [read post]
10 Feb 2009, 5:19 pm
At least 135 banks and credit unions are reporting that their customer credit and debit cards were among those breached by intruders who hacked Heartland Payment Services last year. [read post]
15 Sep 2010, 12:19 pm
The 2010 Midyear Law Firm Financial Trends Report by Citi Private Bank, which provides financial services to U.S. and UK law firms, is out and the bottom line appears to be that expenses have been cut about as much as they can, so law firms now need to turn their focus to increasing top-line revenue. [read post]
26 Sep 2023, 10:00 pm
Partners Peter Sharp and David Waldron, with associates Robert Bolgar-Smith and Keir Baker, wrote an article for Global Relay Intelligence & Practice on the UK Law Commission’s review of the Arbitration Act 1996 and its relevance to the financial services sector. [read post]
28 Jul 2009, 2:03 pm
. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
16 Mar 2009, 11:33 am
From Kate Phillips at The Caucus: Representative Barney Frank, the Democratic chairman of the House Financial Services Committee, kicked off what's likely to be a loud refrain this week on Capitol Hill, when he aimed fire this morning at the American International Group for the bonuses it doled out to employees at the same time it [...] [read post]
28 Feb 2010, 4:09 pm
., the British financial services company, was in advanced talks late on Sunday to acquire the American International Group's big life insurance business in Asia for about $35.5 billion, people briefed on the matter told DealBook. [read post]
22 Aug 2014, 11:51 am
Corp. and OBA Financial Services Inc. announced Thursday that OBA shareholders have approved OBA’s acquisition by F.N.B. [read post]
12 Feb 2020, 12:40 pm
A string of class actions arose from 2018's year-long government inquiry into misconduct in the country's banking and financial services sector. [read post]
