Posts tagged with: "financial+services"
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6 Dec 2018, 7:00 am
Countrywide Pre-Paid Legal Services offers a financial wellness plan. [read post]
18 Aug 2022, 7:00 am
Recently, the Colorado Division of Securities published an Ongoing Financial Planning Guide that articulated its concerns regarding investment adviser firms that provide continuous financial planning services. [read post]
26 Nov 2009, 2:11 am
"Consumers will be able to bring class actions against banks, insurers and other financial services firms if the Government's Financial Services Bill comes into force. [read post]
3 Jan 2019, 1:15 am
To gain access to PathfinderPLUS, please contact the financial services team. [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]
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]
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]
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]
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]
5 Dec 2023, 5:14 am
The correct interpretation of section 154 (which entitles the Financial Services Conduct Authority to make a debarment order after consultation) is that it does not exclude the Authority from receiving submissions and then considering its decision whether a person has contravened a financial sector law, such as the FAIS Act. [read post]
6 May 2019, 6:55 am
The New York Department of Financial Services has announced the creation of a new “powerhouse” Consumer Protection and Financial Enforcement Division. [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]
20 Jul 2017, 2:08 am
The Financial Services Consumer Panel (FSCP) has published a position paper on consumers and competition. [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]
8 Oct 2008, 10:37 pm
Financial support to the banking industry: "After consultation with the Bank of England and the Financial Services Authority, the Government... [read post]
2 Nov 2020, 9:06 am
Oversight also relates to third parties that provide critical services to a financial institution, and other systems to be determined by the CBCS that have a critical function in promoting financial stability. [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]
8 Mar 2011, 11:10 am
Update on the use of social media by financial firms from Financial-Planning.com [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]
8 Apr 2009, 8:32 am
Court of Appeals for the 8th Circuit dealt a blow to Ameriprise Financial. [read post]
