Posts tagged with: "financial+services" Results 4881 - 4900 of 62,668
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Robin Westcott Named Florida Insurance Consumer Advocate
22 Jul 2011, 1:13 pm by Chip Merlin
The Florida Department of Financial Services noted Ms. [read post]
Property Insurance Coverage Law Blog - https://www.propertyinsurancecoveragelaw.com/
Terminating for Financial Reasons? Don’t Expect the Courts to Help You Out
20 Jan 2016, 7:48 am by Catherine Coulter
Employers who undertake reductions in force due to financial difficulties should not count on employee [read post]
Employment and Labour Law - http://www.employmentandlabour.com
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement March, 2025
24 Mar 2025, 9:14 am by Silver Law Group
LLC Raymond James Financial Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Advisor Keith Kordich Subject to Customer Complaints Over Investment Practices
21 May 2019, 6:11 am by Staff Attorney
According to BrokerCheck records financial advisor Keith Kordich (Kordich), currently employed by Ameriprise [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Broker Alert! FINRA Suspended Corey Lee Mireau for Allegedly Burrowing Customer Money
26 Apr 2019, 6:36 am by Malecki Law Team
Former Ameriprise Financial Services, Inc broker Corey Lee Mireau (CRD#3046777) has recently been suspended [read post]
New York Securities Fraud Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
New Regulation Tomorrow Plus Podcast –  FCA CP24/7 on payment optionality for investment research
1 May 2024, 6:54 am by Jonathan Herbst (UK), Mark Highman, Uzmah Yunis and Simon Lovegrove (UK)
Mark Highman, a financial services partner in New York, also provides a US perspective. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
FOS half-yearly complaints data
24 Oct 2024, 8:52 am by Simon Lovegrove (UK)
On 24 October 2024, the Financial Ombudsman Service (FOS) issued its H1 2024 complaints data. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
The Revival of Large Consulting Practices at the Big 4 and Audit Quality
14 Sep 2020, 6:05 am
beyond those related to the audit of financial statements (FS). [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Dismantling Large Bank Holding Companies
23 Apr 2013, 6:20 am by June Rhee, Co-editor, HLS Forum on Corporate Governance and Financial Regulation,
Most BHCs are not banks but “financial malls,” of “shops” serving as brokers-dealers [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Supreme Court: CFPB Single-Director Structure Unconstitutional, Compliance Week, ft. Richard Perr
30 Jun 2020, 4:18 am by Kaufman Dolowich Voluck
Perr, co-managing partner of the KDV Philadelphia office and chair of the Consumer Financial Services [read post]
Kaufman Dolowich & Voluck, LLP Blog - http://www.kdvlaw.com/news-resources/category/blog/
New Regulation Tomorrow Plus Podcast –  FCA CP24/7 on payment optionality for investment research
1 May 2024, 6:54 am by Jonathan Herbst (UK), Mark Highman, Uzmah Yunis and Simon Lovegrove (UK)
Mark Highman, a financial services partner in New York, also provides a US perspective. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
BITS Social Media Risk Management Forum: Washington, D.C. Panel
26 Jul 2013, 12:40 pm by John Delaney
John will be participating in a panel discussion on social media-related business and legal risks for financial [read post]
Socially Aware Blog - http://www.sociallyawareblog.com/
Report of SEC, Fed and other Senior Derivatives Regulators Reveals Deficiency in Financial Firms Measurements of Counterparty Risk
24 Jan 2014, 7:50 am by James Hamilton
Five years after the financial crisis began a group of global derivatives regulators, including the SEC [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Mortgage Credit (Amendment) (EU Exit) Regulations 2019
26 Mar 2019, 4:26 am by Simon Lovegrove (UK) and Jochen Vester (UK)
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Appeal of Award for Attorney’s Fees Unexpectedly Results in Higher Award Amount in Louisiana Court
18 Jun 2019, 4:00 am by Berniard Law Firm
” This phrase applies almost savagely to Robert Alvarez, a New Orleans financial advisor who sought [read post]
Louisiana Personal Injury Lawyer Blog - http://www.louisianapersonalinjurylawyerblog.com/
The Securitisation (Amendment) (EU Exit) Regulations 2019
27 Mar 2019, 8:44 am by Simon Lovegrove (UK) and Jochen Vester (UK)
You can track the financial services Brexit EU Exit statutory instruments (as well as gain access to [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
MyLawyer U.K.
16 Jun 2008, 4:44 pm
MyLawyer is, or plans to be, a front end for participating law firms who want a way of delivering legal services [read post]
Slaw - http://www.slaw.ca/
FSCS announces annual management expenses budget
12 Jan 2023, 9:14 am by Simon Lovegrove (UK)
On 12 January 2023, the Financial Services Compensation Scheme (FSCS) published its budget update which [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
The CFPB at one year: What’s next?
21 Jul 2012, 9:24 am by Alan S. Kaplinsky
The Consumer Financial Protection Bureau opened for business on July 21, 2011. [read post]
CFPB Monitor - http://www.cfpbmonitor.com
Federal Court Requires Financial Planning Company to Exhaust Tribal Remedies
17 Jun 2015, 8:19 am by Matthew L.M. Fletcher
Here are the materials in United Planners Financial Services of America LLP v. [read post]
Turtle Talk - https://turtletalk.blog/