07/06/2019
Kelley Galica Peck, a partner in Stamford-based Cummings & Lockwood’s Private Clients Group, served as vice chair, Estates and Probate Section, of the Connecticut Bar Association and was instrumental in the drafting and proofing of the act.
07/05/2019
The Brazilian company runs multiple insurance segments such as health and dental, auto, property and casualty, life and personal accident insurance.
07/03/2019
According to the SEC’s order, from 2014 to early 2016, approximately 40 retail clients of Behn and Fieldstone invested more than $7 million in Aequitas securities, which were the subject of a previous Commission enforcement action.
07/03/2019
Once Bill C-97 comes into force, if corporations fail to comply with the investigative bodies’ request, they may be found liable on summary conviction to a fine of up to $5,000.
07/01/2019
As described in the order, State Street's clients agreed to pay the firm back for out-of-pocket custodial expenses that the firm paid on the clients' behalf. Instead of charging clients for the actual amount of the expenses, however, the SEC ord
07/01/2019
When the participants questioned the investments involved, U.S. Bank replaced those amounts, causing the plan to be overfunded.
07/01/2019
"Chubb recognizes the reality of climate change and the substantial impact of human activity on our planet," said Evan G. Greenberg, Chairman and CEO of Chubb.
06/28/2019
That complaint has since been settled, but the wirehouse terminated him in July 2017 over allegations that he had “accepted funds from a client without the Firm’s approval,” Finra says.