Search for: "E*Trade Securities, LLC"
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21 Jun 2021, 3:14 pm
Continue reading The post Jackson, Mississippi Investor Wins Arbitration Claim Against E*Trade Securities LLC appeared first on Securities Arbitration Lawyer Blog. [read post]
4 Aug 2017, 7:59 am
E*Trade Securities LLC provides security-underwriting and brokerage services. [read post]
1 Aug 2017, 8:11 am
E*Trade Securities LLC provides security-underwriting and brokerage services. [read post]
23 Oct 2011, 9:03 am
NASAA recently announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS)... [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]
10 Nov 2011, 5:10 am
According the nasaa.org, The North American Securities Administrators Association (NASAA) announced recently “that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008. [read post]
22 May 2008, 10:10 am
E*Trade Securities has been to pay a $500,000 fine. [read post]
Another Ruling Challenging "Check the Website for Amendments" Contract Provisions--Roling v. E*Trade
30 Nov 2010, 7:24 am
E*Trade Securities LLC, 2010 WL 4916401 (N.D. [read post]
7 Jan 2022, 11:54 am
FINRA Mulls A Defaulted Bond's Worth (BrokeAndBroker.com Blog)Federal Indictment Charges Chicago Attorney With Insider Trading (DOJ Release)SEC Charges Two Friends and Former Business Associates with Insider Trading (SEC Release)FINRA Censures and Fines E*TRADE for Supervision LapsesIn the Matter of E*TRADE Securities LLC, Respondent (FINRA AWC)What to Expect: CE Transformation & Maintaining Qualifications Program… [read post]
14 Feb 2019, 1:48 am
E*Trade Securities LLC, Respondent (FINRA Arbitration Decision 18-02428 / February 21, 20... [read post]
5 Mar 2021, 9:50 am
E*Trade Securities, LLC, Respondent (FINRA Arbitration Award)HELD OVER FOR SECOND DAY: FINRA Suffers Stunning Rebuke by SEC in Ty... [read post]
30 Jun 2021, 3:20 pm
Gad and his friend Nathan E. [read post]
18 Mar 2014, 6:01 am
Brunhaver (Brunhaver) formerly of LPL Financial, LLC (LPL) concerning allegations Brunhaver used an unauthorized e-mail account for communications related to his securities business and committed securities fraud in making oral and written misrepresentations to customers regarding a non-traded REIT. [read post]
7 Aug 2023, 12:14 pm
The SEC’s ongoing investigation is being conducted by Heather E. [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]
2 Nov 2018, 10:36 am
” Continue reading The post The SEC’s Temporary Suspension Of Marijuana Company, CannaBusiness Group, LLC Trading appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Oct 2017, 9:12 am
The Federal Trade Commission is investing nearly $3 million in technology to support an increasing need for e-discovery driven by massive data breaches such as the one disclosed recently by Equifax. [read post]
17 Feb 2021, 12:58 pm
According to the AWC, this conduct violated FINRA Rule 3280 (Private Securities Transactions of an Associated Person), 2111 (Suitability), and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
21 Sep 2018, 2:32 pm
As alleged in the Complaint, this practice, referred to in the securities industry as “cherry-picking”, amounts to an impermissible allocation of trades in violation of various securities laws, including Sections 209(d), 209(e)(1), and 214 of the Investment Advisers Act of 1940 (“Advisers Act”). [read post]
23 Apr 2021, 3:54 am
Wells Fargo Advisors Financial Network, LLC, Respondent (FINRA Arbitration Award)FINRA Arbitrator Recommends Expungement After Citing Improper E-Mail Trade OrderIn the Matter of the Arbitration Between Patrick Peterson, Claimant v. [read post]
