Posts by Category: Financial Services Hiring

Heightened Scrutiny of Brokers – SEC Approves

In recent years, questions have been raised in many quarters about how brokers with questionable backgrounds have been able to move among firms and remain in the industry. FINRA has responded by enhancing a broker dealer’s obligations for reviewing the…

FCRA Class Action USB Financial Services

This is a consumer class action based upon Defendant UBS Financial Services, Inc.’s (UBS) violations of the Fair Credit Reporting Act, 15 U.S.C. §§ 1681 et seq. (FCRA). UBS systematically violates at least two sections of the FCRA: section 1681b(b)(2), by…

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Posts by Category: Financial Services Hiring

Heightened Scrutiny of Brokers – SEC Approves

FCRA Class Action USB Financial Services

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