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Broker-dealer LPL overhauling compliance practices after fines
ReutersNEW YORK (Reuters) - LPL Financial Holdings Inc, a fast-growing broker-dealer that offers services to more than 13,000 independent stockbrokers, is overhauling its compliance procedures following a flurry of regulatory complaints about sales abuses. LPL,...Tags: Finance, Morgan Stanley Dean Witter & Company, The New York Times, Punishment, Regulatory Policy and Organizations
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FACTBOX-U.S. Treasury acts to avoid hitting debt limit
ReutersMay 20 (Reuters) - U.S. Treasury Secretary Jack Lew on Monday said the Obama administration was suspending investments in the Civil Service Retirement and Disability Fund, a government employee pension fund, to help the nation keep paying its bills now...Tags: U.S. Department of the Treasury, U.S. Congress, Investments, Retirement, Congressional Budget Office
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Former GOP Senator Judd Gregg named CEO of lobbying group SIFMA
ReutersNEW YORK, May 20 (Reuters) - The Securities Industry and Financial Markets Association named former Republican Senator Judd Gregg as its chief executive officer, the lobbying group said Monday. The appointment of the veteran politician, who also was...Tags: Finance, Republican Party, Corporate Officers, Lobbying, U.S. Securities and Exchange Commission
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Missing Boca attorney had ties with companies facing FTC lawsuit
Missing Boca Raton attorney Timothy McCabe once had ties to what federal authorities have described as a web of South Florida businesses that financially preyed on people desperate to avoid foreclosure, the Sun Sentinel has found. McCabe got some of his...
Tags: Laws, Tampa, Realty, Defendants, Prosecution
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SEC review of brokerages use of arbitration not seen in 2013
ReutersWASHINGTON (Reuters) - Wall Street brokerages' use of mandatory arbitration clauses merits a regulatory review, but the Securities and Exchange Commission will not have time to undertake one before 2014, an SEC commissioner said on Monday. The agency...Tags: Elisse Walter, Finance, U.S. Securities and Exchange Commission, Economy, Business and Finance, Arbitration
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E-mail address locked in limbo
Star Tribune (Minneapolis)A company that overpromises what it can deliver should never deal with a lawyer. That's what Comcast did with Minneapolis attorneys Richard Fuller and Charles Horowitz, who recently opened a new two-person law firm. They ordered Comcast's business-...Tags: Lawyers, Crime, Law and Justice, Computer Networking and Internet, Computing and Information Technology Industry, Justice System
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3 big banks nearly halt foreclosure sales after U.S. tweaks orders
Sales of homes in foreclosure by Wells Fargo & Co., JPMorgan Chase & Co. and Citigroup Inc. ground nearly to a halt after regulators revised their orders on treatment of troubled borrowers during the 60 days before they lose their homes. The banks...Tags: Mortgages, U.S. Department of the Treasury, JPMorgan Chase & Co., Foreclosures, Citigroup Incorporated
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READER SUBMITTED: Tara Scott Joins LPL Financial As Financial Consultant Representing American Eagle Financial Services
West HartfordTara Scott of West Hartford, has been hired as a Financial Consultant with LPL Financial to represent American Eagle Financial Services. Tara has 15 years of experience in the financial services industry and is a registered Investment Representative with...Tags: Northwestern Mutual, West Hartford, Farmington (Hartford, Connecticut), East Hartford, Hartford (Hartford, Connecticut)
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Mortgage rates climb on strong economic reports
Tribune reporterMortgage rates passed the 3.5 percent mark this week, largely due to a strong report on consumer spending. Freddie Mac reported Thursday that the average interest rate on a 30-year fixed-rate mortgage was 3.51 percent this week, compared with 3.42...Tags: Finance, Mortgages, Money and Monetary Policy, Freddie Mac, Economy, Business and Finance
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READER SUBMITTED: Serow Joins Savings Institute In East Hampton
East HamptonJamie Serow has been named branch manager for the Savings Institute Bank & Trust's East Hampton office, according to Jonathan Wood, Savings Institute Bank & Trust Company senior vice president Retail Banking. Ms. Serow brings diverse financial services...Tags: Marketing, Middlesex County (Connecticut), Business, Middletown, The Hartford Financial Services Group Inc.
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Smaller and cheaper
The Baltimore SunBALTIMORE - Greg Cantori plans to downsize when he retires. Really, really downsize. His retirement home is 238 square feet -- one-tenth the size of the average new American house -- and sits in his Anne Arundel County, Md., yard. He and wife, Renee,...Tags: Baltimore County, Rentals, Tameka Cottle, Homes, Washington, DC
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Floridians could net $19 million in Wells Fargo settlement
A group of South Florida attorneys has negotiated a projected settlement of more than $19 million to resolve a class-action case brought on behalf of thousands of homeowners across the state who, through their Wells Fargo Bank mortgages, were subjected to...
Tags: Lawyers, Mortgages, Crime, Law and Justice, Pompano Beach, Palm Beach (Palm Beach, Florida)
May 20, 2013
|Story| Reuters
May 20, 2013
|Story| Reuters
May 20, 2013
|Story| Reuters
May 20, 2013
|Story| South Florida Sun-Sentinel
May 20, 2013
|Story| Reuters
May 20, 2013
|Story| South Bend Tribune
May 19, 2013
|Story| Los Angeles Times
May 19, 2013
|Story| Hartford Courant
May 16, 2013
|Story| Chicago Tribune
May 12, 2013
|Story| Hartford Courant
May 18, 2013
|Story| South Bend Tribune
May 17, 2013
|Story| South Florida Sun-Sentinel
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