Search for: "Lyons Trading, LLC"
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21 Jun 2017, 8:50 am
Lyons, LLC out of the firm’s Greenville, South Carolina branch office location. [read post]
18 Jan 2017, 1:35 pm
Lyons in Greenville, SC from 01/26/2012 – 10/12/2016. [read post]
23 Sep 2016, 10:15 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has issued penalties against 13 investment advisory firms found to have violated securities laws by spreading false claims.The SEC found that the 13 firms negligently relied upon claims by F-Squared Investments that its AlphaSector strategy for investing in exchange-traded funds (ETFs) had outperformed the S&P Index for several years. [read post]
24 May 2016, 9:31 am
Lyons, LLC (CRD #453, Louisville, Kentucky)Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to identify and apply sales-charge discounts to certain customers’ eligible purchases of UITs, which resulted in customers paying excessive sales charges of $328,491. [read post]
2 Oct 2015, 7:44 am
Lyon have alleged unsuitable investment recommendations and unauthorized trading. [read post]
18 Jul 2014, 11:55 am
This post is only from the Reed Smith (more properly, the non-Dechert) side of the blog.One hundred what, you say? [read post]
3 Jan 2014, 7:00 am
Sasafrasnet, LLC, No. 13-1202 (Nov. 4, 2013). [read post]
13 Nov 2012, 11:54 am
Superior Court (Monex), 176 Cal.App.4th 1554 (2009);andnbsp;andnbsp; ATandamp;T Mobility LLC v. [read post]
28 May 2012, 7:58 pm
The Court found after trial that Crombie misled McConnon and Lyons to form the LLC to manage a hedge fund product and client accounts using his futures trading program. [read post]
4 Aug 2011, 9:25 am
Lyons P'ship, L.P. v. [read post]
4 Aug 2011, 9:25 am
Lyons P'ship, L.P. v. [read post]
2 Dec 2010, 9:16 am
LLC, 2010.KDZ3156 .H87 2010Conflict of LawsK7041 .B6 2010Unifying and harmonizing substantive law and the role of conflict of laws / Katharina Boele-Woelki.Boele-Woelki, Katharina.Leiden ; Boston : Martinus Nijhoff Publishers, 2010.CongressKF4937 .O44 2011Congressional procedures and the policy process / Walter J. [read post]
12 Jul 2010, 11:45 am
MESIROW FINANCIAL STRUCTURED SETTLEMENTS, LLC YANISSE ADRIAN, Plaintiff,v.MESIROW FINANCIAL STRUCTURED SETTLEMENTS, LLC, et al., Defendants. [read post]
5 Apr 2010, 1:30 am
From a policy standpoint, LLC cases granting equitable remedies as in Superior Vending and Lyons (and let's not forget Tzolis v. [read post]
20 Nov 2009, 6:00 pm
(IP Osgoode) US Trade Marks & Domain Names – Decisions 9th Circuit remands cybersquatting case to Western District: Lahoti v Vericheck (Seattle Trademark Lawyer) [read post]
