Search for: "Jefferies, LLC"
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21 May 2021, 8:42 am
Gould an Attorney at Romanucci & Blandin, LLC. [read post]
21 May 2021, 8:42 am
Gould an Attorney at Romanucci & Blandin, LLC. [read post]
3 Jan 2012, 8:00 am
Jefferies sued Nasdaq and its International Derivatives Clearing Group LLC in September in New York state court accusing them of fraud and breach of contract. [read post]
18 Mar 2014, 4:33 pm
Attorney’s Office of the District of Connecticut, New York based broker dealer, Jefferies LLC, entered into a non-prosecution agreement and will pay $25 million. [read post]
9 Dec 2019, 9:17 am
The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). [read post]
14 Nov 2019, 8:42 am
Jeffery and his team took their time to explain things over the phone and return […] The post Strike 3 Holdings LLC in New York – ‘The free consultation totally explains where you stand’. appeared first on Torrent Defenders. [read post]
18 Oct 2015, 6:43 am
Thereafter, from Apirl 2012 until July 2015, Jeffery was a registered representative of JHS Capital Advisors, LLC. [read post]
15 Jun 2017, 7:49 am
(CRD #1833707) Bradenton, Florida
(March 13, 2017) FINRA Case #2016049321701 Watson was discharged from The Jeffery Matthews Financial Group LLC in December 2015 and from Firstrust LLC in January 2015. [read post]
15 Mar 2012, 10:11 am
Jeffery K. [read post]
13 Sep 2022, 5:35 am
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…Read the Full Press ReleaseHave a securities law question? [read post]
12 Aug 2007, 8:44 pm
On July 26, 2007, Judge Jeffery A. [read post]
9 Apr 2012, 8:29 am
Jeffery K. [read post]
21 Sep 2022, 12:37 pm
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms with failing to comply with municipal bond offering disclosure requirements. [read post]
2 Oct 2015, 3:32 pm
"When you look through all the details of the data, there just isn't anything good to hang your hat on," said Thomas Simons, a money-market economist at Jefferies LLC in New York. [read post]
5 Aug 2013, 4:11 am
In the Matter of Michael Jeffery Wiseman, Respondent (AWC 2012031332001, July 30, 2013).Wiseman first became registered in 1987 and from 2007 to June 14, 2012, he was registered with LPL Financial LLC, until his June 14, 2012 discharge. [read post]
5 Apr 2019, 10:54 am
In the Matter of the Arbitration Between Jefferies, LLC, Claimant/Counter-Respondent, v. [read post]
21 Feb 2017, 1:35 pm
Rosen, Sapperstein & Friedlander LLC, a business consulting and accounting firm, promoted Jeffery Rosen, CPA, CGMA, MBA and David S. [read post]
14 May 2018, 2:02 pm
” Jefferies LLC, Piper Jaffray & Co. and Guggenheim Securities served as the lead underwriters. [read post]
14 Sep 2022, 11:59 am
Each of TD, BNY Mellon, and Jefferies agreed to settle with the SEC, but Oppenheimer is litigating the matter in the Southern District of New York (In the Matter of TD Securities (USA) LLC, Release No. 34-95751, September 13, 2022; In the Matter of BNY Mellon Capital Markets, LLC, Release No. 34-95750, September 13, 2022; In the Matter of Jefferies LLC, Release No. 34-95749, September 13, 2022; SEC v. [read post]
11 Aug 2018, 9:04 pm
Jeffery A. [read post]
