Search for: "E* Trade Securities LLC"
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7 Mar 2022, 8:22 am
Two customer disputes, filed on 8/29/2021 and 9/5/2021 allege that Dunn executed unauthorized trades in foreign securities. [read post]
24 Nov 2010, 9:23 am
Don Ching Trang Chu, identified as an Asia expert on the website of Primary Global Research LLC, was arrested... [read post]
19 Nov 2021, 6:30 am
FINRA has barred former Cambria Capital, LLC broker Steven Musielski from the securities industry. [read post]
31 Mar 2023, 11:36 am
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]
29 Aug 2012, 7:55 am
Earlier this week, Wyndham Hotels & Resorts LLC moved to dismiss the complaint filed against it by the Federal Trade Commission in connection with Wyndham’s data security practices, asserting that the FTC has neither the authority nor the expertise to regulate them. [read post]
1 Mar 2023, 12:59 pm
The Securities and Exchange Commission has charged Terren S. [read post]
25 Jun 2019, 7:23 am
Bourne is formerly employed by First Standard Financial Company LLC (First Standard Financial) and National Securities Corporation (National Securities). [read post]
20 May 2021, 8:43 am
Siliato’s potentially excessive and unauthorized trading in a customer’s account while he was associated with Wynston Hill Capital, LLC in the Bronx, New York. [read post]
20 May 2008, 12:22 pm
According to FINRA's release, Tradestation Securities, Inc. was fined $750,000 for not reporting 23.5 million reportable order events, E*Trade Securities, LLC was fined $500,000 for failing to report new order reports and route reports, and CIBC World Markets Corp. was fined $350,000 for failing to report to OATS over 28 million orders generated by an affiliate. [read post]
7 Mar 2021, 4:58 am
The complaint against Miller concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations. [read post]
13 Feb 2019, 2:30 pm
The post Commodity Futures Trading Commission Orders Couple Who Pleaded Guilty in $11M Futures Trading Scam to Pay Restitution appeared first on Securities Fraud Attorney. [read post]
3 Sep 2021, 10:36 am
The post Excessive Trading: FINRA’s Red Flags and Recommendations for Investors appeared first on Zamansky LLC. [read post]
20 Jan 2010, 4:39 pm
The SEC settled insider trading charges against Charles J. [read post]
17 Jan 2013, 11:10 am
The SEC settled charges against Eric Rogers, a former proprietary trader at the now-defunct registered broker-dealer Spectrum Trading, LLC. [read post]
14 May 2018, 1:22 pm
Continue reading The post Silver Law Group is Investigating Joseph Francis Valdini of Worden Capital Management LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
14 Oct 2011, 4:52 am
The SEC sanctioned two electronic stock exchanges and a broker-dealer owned by Direct Edge Holdings LLC for violations of U.S. securities laws arising out of weak internal controls that resulted in millions of dollars in trading losses and a systems... [read post]
16 Dec 2010, 11:05 am
We have been waiting for a shoe to drop in the three-year investigation into insider trading, and here it is: the government arrested four consultants and one employee of Primary Global Research LLC, an "expert-network" firm. [read post]
21 May 2021, 10:47 am
Robinhood was joined by other online brokers, including TD Ameritrade, Charles Schwab & Co, Inc, Interactive Brokers, LLC, Webull Financial, LLC, E*Trade Securities LLC, who all implemented trading restrictions on targeted securities. [read post]
3 Apr 2023, 10:40 am
The Securities and Exchange Commission today charged New Jersey-based Chatham Asset Management LLC and its founder, Anthony Melchiorre, in connection with improper trading of certain fixed income securities. [read post]
11 Sep 2020, 8:32 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
