Search for: "E* Trade Securities LLC"
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7 May 2021, 7:06 am
The post JABL LLC Securities Investigation appeared first on The White Law Group. [read post]
7 Aug 2018, 6:24 am
” Continue reading The post Donald Fowler Charged With Excessive Trading And Churning appeared first on Securities Arbitration Lawyers Blog. [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
23 Jun 2017, 10:48 am
The post Santander Securities LLC Censured and Fined appeared first on White Securities Law. [read post]
23 Jun 2017, 10:48 am
The post Santander Securities LLC Censured and Fined appeared first on White Securities Law. [read post]
22 May 2008, 10:10 am
E*Trade Securities has been to pay a $500,000 fine. [read post]
9 Nov 2021, 12:46 pm
(CRD#:36719), of Westport, CT, and Wachovia Securities, LLC (CRD#:19616) of St. [read post]
31 Jul 2008, 11:10 am
On July 30, 2008, the SEC announced it settled charges against E*Trade Clearing LLC and E*Trade Securities for AML (anti-money laundering) violations. [read post]
21 Sep 2018, 2:32 pm
As alleged by the SEC, World Tree manages all of its clients’ assets on a discretionary basis, meaning that it has authorization to trade securities on behalf of its clients. [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [read post]
22 Dec 2009, 5:30 am
In Electronic Trading Group, LLC v. [read post]
27 Mar 2012, 5:35 am
[JURIST] The US Supreme Court [official website] ruled [opinion, PDF] unanimously Monday in Credit Suisse Securities LLC v. [read post]
11 Dec 2014, 2:02 pm
Morgan Stanley will pay $4 million to settle charges that it failed to stop a rogue Rochdale Securities LLC trader from fraudulently buying $525 million in Apple stock in 2012.For more information, go to Morgan Stanley Fined $4 Million for Role in Fraudulent Apple Trades - WSJ---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
17 Apr 2008, 8:10 pm
District Court for the Southern District of New York on April 10, ex-Assent LLC registered broker Samuel Childs pled guilty to a conspiracy charge to commit securities fraud, wire fraud, and commercial bribery for agreeing to receive $100,000 in exchange for concealing insider trading activities from Assent senior executives. [read post]
16 Jun 2021, 12:55 pm
The complaint alleges that from January 2017 to December 2019, while associated with Spartan Capital Securities, LLC, Mr. [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
16 Jul 2021, 8:52 am
Consequently, the NYSE started the process to delist and suspend trading of Medley Management (NYSE:MDLY) common stock and Medley LLC notes; its publicly traded notes include Medley LLC notes due 2024 (NYSE:MDLQ) and Medley LLC senior notes due 2026 (NYSE:MDLX). [read post]
9 Sep 2020, 7:24 am
Murphy From Securities Industry After Investigation Into Unsuitable Trading appeared first on Securities Arbitration Lawyers Blog. [read post]
24 Dec 2019, 9:20 am
When brokers engage in excessive trading, sometimes referred to as churning, the broker will typical trade in and out of securities, sometimes even the same stock, many times over a short period of time. [read post]
5 May 2023, 12:33 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
