Posts tagged with: "financial+services"
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28 Apr 2021, 7:38 am
The senior investor suffered losses when he invested $1.25M in Northstar Financial Services (Bermuda) at the recommendation of Hancock Whitney Investment Services broker, Robin Platt. [read post]
5 Mar 2025, 6:22 am
Currently financial advisor Timothy Evans (Evans), currently employed by brokerage firm IBN Financial Services, Inc. has been subject to at least 2 disclosable events. [read post]
13 Feb 2025, 6:25 am
Currently financial advisor Timothy Evans (Evans), currently employed by brokerage firm IBN Financial Services, Inc. has been subject to at least 2 disclosable events. [read post]
13 Feb 2025, 6:15 pm
Currently financial advisor Timothy Evans (Evans), currently employed by brokerage firm IBN Financial Services, Inc. has been subject to at least 2 disclosable events. [read post]
14 Jul 2022, 8:46 am
The New York State Department of Financial Services (DFS) has issued an Industry Letter providing guidance on overdraft and non-sufficient funds (NSF) fees to depository institutions that it supervises. [read post]
5 Mar 2018, 1:35 pm
Silver Law Group is investigating claims against UBS Financial Services (“UBS”) New York-based stockbroker James Dillon (“Dillon”). [read post]
26 Oct 2011, 2:08 pm
The full House Financial Services Committee has approved by voice vote and sent to the House floor two pieces of legislation increasing the number of investors permitted to hold shares in either a company or a community bank before the organization is required to register with the SEC or “go public. [read post]
18 Jun 2009, 7:03 am
The full report, which calls for numerous reforms, including the creation of a Financial Services Oversight Council and heightened supervision of large, interconnected financial firms is available here. [read post]
3 Mar 2022, 4:35 am
On 23 February 2022, the Financial Services Tribunal (FST) reinforced that an employee who does not have a “complaint” as provided for, in section 30A of the Pension Funds Act,1956 (PFA) cannot have recourse under the PFA. [read post]
27 Jun 2012, 1:36 pm
The impact of a breakup of the euro, whether by a large or small Eurozone member, will have significant consequences for US-headquartered financial services providers. [read post]
29 Oct 2020, 7:44 am
We are joined by special guest Isaac Boltansky, Director of Policy Research at Compass Point Research & Trading, for a discussion of the potential implications for the consumer financial services industry should Joe Biden win the Presidency and Democrats win control of the Senate while retaining control of the House. [read post]
15 May 2024, 3:07 am
On 14 May 2024, the House of Lords Financial Services Regulation Committee (FSRC) published a letter it received from Nikhil Rathi, the Chief Executive of the Financial Conduct Authority (FCA), concerning reforms to the cost disclosure regime for investment trusts. [read post]
17 Aug 2017, 8:54 am
This is the danger and what is concerning in regard to what we are seeing with CPA and Financial Service firms. [read post]
29 Nov 2023, 7:35 am
Financial abuse can take any of the following forms: Taking money without permission Failing to repay money that is owed Misrepresenting how money will be used Overcharging for services Any of these behaviors is a sure sign of financial elder abuse and should be reported to authorities. [read post]
7 Apr 2008, 12:41 pm
From 1 July 2008 the dispute resolution function currently conducted by the Banking and Financial Services Ombudsman ("BFSO") will be conducted by a new company, Financial Ombudsman Service Limited ("FOS"), which will merge BFSO's operations with those of the Insurance Ombudsman Service ("IOS") and the Financial Industry Complaints Service ("FICS"). [read post]
12 Mar 2009, 8:31 am
On Tuesday of this week, Senators Chuck Schumer and Dick Durbin introduced Senate Bill 566, which would create a new government agency, the Financial Product Safety Commission, to help consumers obtain financial products and services without being subject to predatory or deceptive financial practices. [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
14 Oct 2014, 5:05 am
Most of these statutes, however, provide important exceptions for certain types of financial services industry employers, and / or recognize that financial services employers may have certain criminal background screening obligations imposed by federal law or FINRA The pace of monetary awards by SEC under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) whistleblower program has increased in 2014; the most recent of… [read post]
1 Jul 2012, 12:10 pm
ASIC has released updated policy guidance about its approach to facilitating cross-border financial regulation to assist foreign providers of financial facilities, services and products that wish to operate in Australia. [read post]
3 Feb 2020, 9:33 am
On Wednesday, February 5, the House Financial Services Committee will hold the first part of a two-part hearing on “rent-a-bank” structures. [read post]
