Posts tagged with: "financial+services" Results 7661 - 7680 of 62,668
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Blog Post: Corporate Transparency Act Regulations and Guidance Tracker
16 Jan 2024, 5:00 am by Sherica Celine
formed or registered to do business in the United States to file a beneficial ownership report with the Financial [read post]
Legal Insights Blog - https://www.lexisnexis.com/community/insights/legal/
Plaintiff in lawsuit challenging CFPB’s rescission of ability-to-repay provisions of 2017 payday loan rule files opposition to CFPB and CFSA motions to dismiss; CFPB and CFSA file replies
19 May 2021, 1:03 pm by Mark J. Furletti
Asset Builders (NALCAB) has filed its combined opposition to the motions of the CFPB and the Consumer Financial [read post]
CFPB Monitor - http://www.cfpbmonitor.com
llinois Supreme Court Decisions: Highlights from June 2021
30 Oct 2023, 8:53 am by Peter S. Lubin and Patrick Austermuehle
Diversified Collection Services, Inc. (2021 IL 125565) Mayol v. [read post]
Chicago Business Litigation Lawyer Blog - http://www.chicagobusinesslitigationlawyerblog.com/
Ex-Kestra Broker Chadwick Collins’ Customers Seek Over $3.3M in Damages
23 Mar 2022, 2:11 pm by Shepherd Smith Edwards & Kantas, LLP
Faces Unsuitability and Negligence Allegations If you suffered investment losses while working with financial [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/
Study Finds It Might Be Better to Fight the SEC & FINRA Than Settle
17 May 2011, 9:00 am by Mary Todd
A study conducted by financial services law firm Sutherland Asbill & Brennan finds that it sometimes [read post]
Cosgrove Law Securities and Investment Blog - http://securitiesandinvestmentblog.blogspot.com/
Federal financial regulators propose computer-security incident notification for banks
19 Dec 2020, 10:06 am by Sindhu Ajay | School of Law Christ U., IN
a new computer-security incident notification requirement for banking organizations and their bank service [read post]
JURIST - Paper Chase - https://www.jurist.org/news/
D&O Insurance: Professional Services Exclusion Precludes Coverage for Claims Arising From Broker-Dealer's Offering Underwriter Activities
25 Nov 2013, 12:12 am by Kevin LaCroix
against  broker-dealer David Lerner Associates, based on the firm’s offering underwriter and financial [read post]
The D & O Diary - http://www.dandodiary.com/
David Lerner Associates: Complaints, Regulatory Actions
5 Jun 2024, 10:52 am by The White Law Group
Associates (CRD#5397) functions as a licensed broker-dealer, offering comprehensive independent brokerage services [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
United Planners Fined $100K By Massachusetts for Inadequate Supervision of a Broker
20 Feb 2019, 11:54 am by ccollins
Massachusetts Secretary of the Commonwealth William Galvin’s office has fined United Planners Financial [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/
CFPB files amicus brief in Third Circuit supporting PA AG
5 Sep 2019, 10:36 am by John L. Culhane, Jr.
  The PA AG’s lawsuit includes claims that Navient violated the Consumer Financial Protection [read post]
CFPB Monitor - http://www.cfpbmonitor.com
Advisor Stacy Cheney-Jamison Sanctioned Over Private Investment Sales
9 Sep 2018, 7:14 am by Staff Attorney
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
The Reeves Law Group Awards $2,500 Scholarship to Harvard Law Student, Adaeze Anita Onyimah
18 Apr 2023, 1:52 pm by Chris Koszo
The Reeves Law Group has just awarded a $2,500 scholarship to Adaeze Anita Onyimah, to assist her financially [read post]
Robert Reeves Personal Injury Blog - http://www.robertreeveslaw.com/blog/
SEC Chair Tells House Oversight Panel of Enhanced Role for Economists in SEC Rulemaking
19 Apr 2012, 12:04 pm by James Hamilton
In testimony before the House TARP and Financial Services Oversight Subcommittee, the SEC Char emphasized [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Short Selling Activism in Europe—A Strategic Communications Perspective
10 Jul 2022, 6:25 am
September 2020, the German anti-money laundering authority launched an investigation into the German financial [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Short Selling Activism in Europe—A Strategic Communications Perspective
10 Jul 2022, 6:25 am
September 2020, the German anti-money laundering authority launched an investigation into the German financial [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Yield Enhancement Strategy Losses? Call Zamansky, LLC
31 Jan 2019, 8:04 am by Zamansky
and “Iron Condor” Losses When you invest with a brokerage or advisory firm such as UBS Financial [read post]
Zamansky LLC Blog - http://www.zamansky.com/news-media/
Reading a Mandatory Stakeholder Model of Corporate...
30 Oct 2006, 11:49 am
At the recently concluded conference: EU Financial Services Regulation: Completing the Internal Market [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
The Reeves Law Group Awards $2,500 Scholarship to Harvard Law Student, Adaeze Anita Onyimah
18 Apr 2023, 1:52 pm by Chris Koszo
The Reeves Law Group has just awarded a $2,500 scholarship to Adaeze Anita Onyimah, to assist her financially [read post]
The Reeves Law Group Blog - https://www.robertreeveslaw.com/blog/
New York State Comptroller Thomas P. DiNapoli announced the following audits were issued during the week ending December 31, 2021
25 Dec 2021, 7:00 am by Public Employment Law Press
Dependence Residential Services (2020-S-49) - OASAS is responsible for certifying residential services [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
New York State Comptroller Thomas P. DiNapoli announced the following audits were issued during the week ending December 31, 2021
25 Dec 2021, 7:00 am by Public Employment Law Press
Dependence Residential Services (2020-S-49) - OASAS is responsible for certifying residential services [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/