Search for: "E*Trade Securities LLC"
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2 Jul 2018, 2:34 pm
From November 2007 to October 2008, Fischer was registered with E*Trade Securities LLC. [read post]
28 Jan 2016, 11:46 am
In addition to making the $2.877 million payment to fully reimburse fund investors for their losses, Kuperman has agreed to pay a $75,000 penalty and be barred from the securities industry.The SEC’s investigation was conducted by Karen E. [read post]
23 Feb 2021, 11:38 am
Worden Capital Management LLC (CRD# 148366), a FINRA-registered brokerage firm, was sanctioned $1.5 million by FINRA to settle findings that the firm churned (excessively traded) customer accounts. [read post]
7 Jan 2020, 9:09 am
Did You Or Someone You Know Lose Money Investing In Woodbridge Group Of Companies LLC? [read post]
23 Sep 2021, 8:41 am
If Commission action is warranted with Coinbase, it is probably warranted with other lending arrangements, the group said.The group believes that many digital asset exchanges are trading securities. [read post]
10 Nov 2015, 8:40 am
ALJ James E. [read post]
3 Apr 2017, 8:20 am
E-Lionheart would contact issuers expressing interest in buying their securities, which, if purchased, were resold almost immediately after the stock was cleared for trading. [read post]
16 May 2022, 3:27 am
"] In re Milstead Technologies, LLC, Serial No. 88933287 (May 10, 2022) [not precedential] (Opinion by Judge Angela Lykos). [read post]
13 Aug 2013, 6:50 am
And trying to find privacy-protecting workarounds appears to be getting more difficult, as Ladar Levison of the Texas-based secure e-mail provider Lavabit, LLC recently learned. [read post]
6 Mar 2018, 8:02 am
Lawrence E. [read post]
1 Oct 2010, 12:07 pm
At the same time, HFTs traded nearly 140,000 E-Mini contracts or over 33% of the total trading volume. [read post]
6 Mar 2007, 5:03 pm
Contacts Verasys LLC, Miami Jim Milford, 305-373-8488 jmilford@verasysllc.com or D.C. [read post]
9 Feb 2012, 3:23 pm
They allegedly used hidden entities abroad to hide their trading and ownership of the securities. [read post]
25 Oct 2011, 9:51 am
Proposed Rule 5123(e) would explain how to apply for an exemption from the rule provisions for good cause. [read post]
8 Mar 2022, 12:51 pm
The defendants are: Jase Davis of Brandon, Mississippi Borys Konovalenko of Ukraine Anna Shymko of Duluth, Georgia Alla Skala of Grand Island, New York and/or Fort Erie, Canada Timothy Stubbs of Brandon, Mississippi and/or Atlanta, Georgia The defendant companies are: Notus LLC d/b/a ROFX, a Colorado limited liability company Easy Com LLC d/b/a ROFX, a New Hampshire limited liability company Global E-Advantages LLC a/k/aKickmagic LLC d/b/a ROFX, a… [read post]
8 Jun 2023, 6:38 am
Encryption and secure transfers should be utilized to ensure the privacy and integrity of ESI during the e-discovery process. [read post]
3 Nov 2020, 1:05 pm
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]
24 May 2012, 8:56 am
According to court filings, from 2006 to 2009, Watson represented to investors in CFF that their funds would be invested via an equities-trading system developed by an expert consultant, Trade LLC. [read post]
9 May 2012, 7:13 am
Investors nationwide who have been the victim of financial fraud, may contact the Florida securities arbitration attorneys at McCabe Rabin, P.A. for a free and confidential consultation by calling toll free at 877.915.4040 or by e-mail to kelly@mccaberabin.com. [read post]
3 Jun 2016, 7:32 am
Fraud charges against three brokerage subsidiaries and two former employees of global trading services provider ConvergEx Group LLC and the former CEOs of two of the brokerage subsidiaries – ConvergEx Global Markets and G-Trade Services LLC, in a scheme causing many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders. [read post]
