Posts tagged with: "financial+services"
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27 May 2022, 12:40 pm
Francis Amsler and Marc Lobarde Were the UBS Financial Brokers of Record A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a Houston, Texas, couple $3.9 million in their claim against UBS Financial Services (UBS). [read post]
5 Apr 2022, 12:18 pm
Investors’ Worked With Ex-McNally Financial Broker Michael O’Meara An older couple from Washington State has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against McNally Financial Services and its former broker Michael Charles O’Meara. [read post]
20 Aug 2024, 3:03 pm
Senior Investor Seeks Up to $5M in Damages After Texas Financial Advisor Allegedly Stole His Money The Shepherd Smith Edwards and Kantas Elder Financial Exploitation Law Firm (investorlawyers.com) represents a disabled retiree in his seven-figure FINRA lawsuit requesting up to $5M in damages from UBS Financial Services. [read post]
26 Feb 2010, 9:43 am
Blake Held: Objections to the qualifications of arbitrators or the procedure of an arbitration hearing must be raised prior to or during the arbitration hearing or are deemed to have been waived.Facts and Analysis: Aaron Holland set up a customer account with Penson Financial Services, Inc. in 2007 by signing a Combined Customer Account Agreement. [read post]
2 Nov 2010, 11:55 am
According to the legislation, these requirements apply to the following service providers: • financial institutions; • investment banking firms; • mortgage banking firms; • asset management firms; • brokers; • dealers; • financial services entities; • underwriters; • accountants; • investment consultants; and • providers of legal services. [read post]
13 Jun 2011, 3:43 am
The PTO refused registration of the mark LION GLOBAL RESOURCES for various financial services [GLOBAL INVESTORS disclaimed] in view of the registered mark LION for partly identical financial services. [read post]
22 Dec 2007, 1:12 pm
Over at Money Law, Marie Reilly has an interesting post on the movie "It's A Wonderful Life" (click on link to view) and the history of the financial services... [read post]
20 Jul 2017, 2:08 am
The Financial Services Consumer Panel (FSCP) has published a position paper on consumers and competition. [read post]
28 May 2024, 5:01 pm
Report Your Suspicions: Report your concerns to the nursing home administrator, local Adult Protective Services, or the police, depending on the severity of the situation. [read post]
25 Jan 2011, 6:10 pm
Apparently short on cash, broker/dealer Capital Financial Services is trying to combine 36 separate investor arbitration claims and lawsuits as part of a class action settlement. [read post]
26 Jul 2012, 11:55 am
Matthew Yglesias has a fantastic piece about the Barofsky-Geithner proxy debate on the financial crisis. [read post]
6 May 2017, 8:55 am
Financial Times, Artificial Intelligence Closes in on the Work of Junior Lawyers: After more than five years at a leading City law firm, Daniel van Binsbergen quit his job as a solicitor to found Lexoo, a digital start-up for legal services in the fledgling “lawtech” sector. [read post]
19 Mar 2009, 2:23 am
“Proposals aimed at shaking up Britain’s banking sector received a cautious welcome from the City’s leading financial services lawyers today. [read post]
1 Dec 2006, 8:52 am
The United States government has warned financial services firms that a radical Muslim group is calling for an online assault on stock-trading and banking Web sites beginning Friday. [read post]
4 Dec 2014, 2:00 pm
TIAA-CREF is the financial services company where many of academics have their retirement plans. [read post]
30 Nov 2006, 4:55 am
., provides healthcare and staffing services in the Northeast. [read post]
8 Apr 2009, 8:32 am
Court of Appeals for the 8th Circuit dealt a blow to Ameriprise Financial. [read post]
9 Jun 2009, 6:06 am
Two good articles today on the pace and direction of the regulatory reform of financial services and financial... [read post]
8 Mar 2011, 11:10 am
Update on the use of social media by financial firms from Financial-Planning.com [read post]
8 Nov 2023, 7:56 am
On November 1, 2023, the New York Department of Financial Services (“NYDFS”) released the finalized amendments of Part 500 of its cybersecurity regulations. [read post]
