Search for: "E*TRADE Clearing, LLC"
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19 Apr 2024, 1:46 am
How to file your BOIR step by step Here’s what the BOIR filing process looks like: You can access the BOIR form electronically through the FinCEN BOI E-Filing System. [read post]
11 Apr 2024, 5:59 pm
§ 271(f) in WesternGeco LLC v. [read post]
4 Apr 2024, 9:05 pm
This case also highlighted the reputational damage (stock values took 15 NYSE quarters of trading to recover) and financial penalties companies could face, even without criminal charges. [read post]
25 Mar 2024, 8:51 am
Since the start of the year, the Federal Trade Commission (FTC) has brought actions against – and reached proposed settlements with[1] – three business ventures engaged in the collection, use and sharing of certain consumer information. [read post]
6 Mar 2024, 1:34 pm
Law Offices of E. [read post]
4 Mar 2024, 9:01 pm
” If the employee can do so, the burden shifts to the employer to make a stronger showing, i.e., “demonstrat[e], by clear and convincing evidence, that the employer would have taken the same unfavorable personnel action in the absence of that behavior. [read post]
26 Jan 2024, 1:40 pm
As a result, VFA violated NASD Rule 3010, FINRA Rules 2330(c), (d), and (e), and FINRA Rule 2010. [read post]
19 Jan 2024, 7:09 am
Thomas, Jr. and Suzanne E. [read post]
16 Jan 2024, 1:19 pm
Their intent is clear: to maximize trading profits by publishing negative information to trigger a sell-off in the targeted issuers’ common stock. [read post]
11 Dec 2023, 1:18 pm
That means a Virginia corporation, LLC, or LP is a Reporting Company under the CTA, but a Virginia general partnership is not. [read post]
11 Dec 2023, 7:16 am
Nature Labs, LLC, 221 F. [read post]
20 Nov 2023, 9:01 pm
In this case, the Ponzi scheme presumption allows the Court to presume that BLMIS made the initial transfers with actual intent to defraud because Madoff has admitted to operating a Ponzi scheme.32 In addition, the court noted that prior decisions of the District Court in the BLMIS case established that section 546(e) does not apply to transfers [read post]
15 Nov 2023, 6:26 am
E. [read post]
14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
1 Nov 2023, 5:53 am
(relisted after the Sept. 26, Oct. 6, Oct. 13 and Oct 27 conferences) 335-7 LLC v. [read post]
27 Oct 2023, 7:12 am
Federal Trade Commission. [read post]
24 Oct 2023, 9:01 pm
What these actions make clear is that adopting the policies is just the first step, not the last. [read post]
20 Oct 2023, 2:40 pm
The SEC asserted that the Administrator, at the behest of the fund’s sponsor, calculated the fund’s net asset value without including trading losses, resulting in materially overstated values in the investors’ account statements. [read post]
17 Oct 2023, 9:23 am
The same goes for whether these movements "simulat[e] sexual intercourse" and the like. [read post]
11 Oct 2023, 11:17 am
It’s assisted in that regard by the Fourth Circuit’s statement in a footnote that “[w]e recognize that courts are split on the interplay of Article III [standing] and” the Bankruptcy Code. [read post]
