Search for: "E*Trade Securities LLC"
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13 Mar 2013, 5:14 am
According to reports, FINRA is investigating Tony Thompson and his broker-dealer, TNP Securities LLC, for failing to turn over documents to FINRA. [read post]
18 Jan 2013, 2:03 pm
Insider Trading: Former Trader Settles Charges in Connection with 3Com Corp Acquisition Eric Rogers, former trader at Spectrum Trading LLC, has agreed to settle charges of insider trading. [read post]
1 Feb 2009, 5:23 am
Choi, New York University, Jill E. [read post]
4 Feb 2014, 6:15 am
Thereafter, Burstein became licensed as a registered representative of at least 15 other brokerage firms including Aura Financial Services, Inc., Pointe Capital, LLC, Legend Securities, Inc., and R.M. [read post]
28 Jun 2010, 4:00 am
The uncertainties resulting from stretching the duty to disclose to the pre-formation period have now been replaced by federal disclosure law under Securities Act of 1933, which also applies to at least some LLCs. [read post]
21 Jun 2012, 1:09 pm
According to the SEC, between July 2007 and January 2010, Persaud persuaded at least 14 investors to invest more than $1 million in his firm White Elephant Trading Company LLC. [read post]
27 Jan 2012, 7:21 am
The SEC also claims that, while Stern was selling these securities, he also purchased small amounts of the stock at prices above the market to raise the market price and to create the false impression of legitimate trading activity. [read post]
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
The firms include Raymond James Financial Inc., Oppenheimer Holdings Inc., E*Trade Financial Corp., and TD Ameritrade Holding Corp., which were among the biggest distributors of auction rate securities, according to the article. [read post]
10 May 2021, 7:09 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]
20 Aug 2012, 9:40 am
The Securities and Exchange Commission ("SEC") has charged Rex Venture Group, LLC ("Rex") d/b/a ZeekRewards.com and its principal, Paul Burks of Lexington, North Carolina, with fraud in connection with an alleged $600 million Ponzi scheme. [read post]
3 Apr 2014, 6:07 am
Rockwell Global Capital LLC (Rockwell) brokers Robert E. [read post]
20 Dec 2018, 10:19 am
” The allegations state that “during the course of normal e-mail correspondence review, firm supervisors discovered an e-mail message from the customer containing language indicating that the representative may have engaged in unauthorized discretionary trading. [read post]
18 Mar 2024, 6:00 am
Wilson , TAYLOR ENGLISH DUMA LLP AND FINCEN REPORT COMPANY This article discusses the New York LLC Transparency Act (LTA). [read post]
20 Aug 2020, 7:06 am
VW Contributor: Skylar Young © 2020 Vandenack Weaver LLC For more information, Contact Us [read post]
14 Jun 2011, 8:15 am
Janus Capital Group, Inc. is a publicly-traded company that created the Janus family of mutual funds. [read post]
26 Aug 2020, 6:26 am
Walleye Trading LLC filed suit, contending that AbbVie’s announcement of preliminary numbers, followed by corrected numbers after trading closed, violated § 10(b) and 14(e) of the Securities Exchange Act of 1934. [read post]
14 Sep 2022, 3:32 am
The court concluded that E-Z Dock could not satisfy the non-functionality element of its trade dress claim. [read post]
21 May 2019, 2:00 pm
Hartnett and Taryn E. [read post]
10 Apr 2009, 6:14 pm
Madoff Securities, LLC are limited to the remedies offered in the bankruptcy proceeding now pending in New York. [read post]
15 Nov 2012, 7:50 am
Texamet Recycling, LLC, Judge Michael C. [read post]
