Search for: "Consolidated Trading, LLC"
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4 Jan 2016, 8:33 am
The GMS Group, LLC and Carmine Claudio Capone was censured and fined $75,000. [read post]
30 Dec 2015, 7:28 pm
These cases were consolidated into the Sixth Circuit by order of the Judicial Panel on Multi-District Litigation. [read post]
23 Nov 2015, 3:15 pm
NYSER’s reclaimed authority encompasses the enforcement of rules that specifically govern the markets operated by ICE: the New York Stock Exchange LLC, NYSE Arca, Inc., and NYSE MKT LLC (the “NYSE Exchanges”). [read post]
8 Nov 2015, 11:34 am
From June 1998 until August 2015, Ahrens was associated with LPL Financial LLC (LPL Financial). [read post]
30 Oct 2015, 3:04 am
[Caveat: Yours Truly represented Defendant Evade LLC in this consolidated proceeding, and so editorial wise-crackery will be kept to a minimum]. [read post]
16 Jun 2015, 6:30 am
Market Track, LLC v. [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to monitor and report… [read post]
26 May 2015, 11:32 am
Consolidated reports are communications with the public that must not be misleading or omit material information. [read post]
28 Apr 2015, 6:45 am
After consolidating the action with a similar lawsuit levied by the U.S. [read post]
10 Apr 2015, 8:21 am
LeanSpa, LLC, No. 11-CV-1715 (D. [read post]
6 Mar 2015, 12:53 pm
The court of appeals consolidated this case with Perez and Lira for oral argument, and issued identical opinions (except for changing the identities of the parties) holding that the MFA exemption from preemption applied to section 74.451. 406 S.W.3d 711, 723 (Tex. [read post]
5 Mar 2015, 8:01 am
Ocotillo Real Estate Investments I, LLC. [read post]
11 Feb 2015, 12:23 pm
The Virginia action consolidated Bayer’s claims under Lanham Act Section 43(a)(1)(A) (infringement of an unregistered trade mark) and Section 43(a)(1)(B) false advertising, as well as related state claims. [read post]
2 Feb 2015, 3:28 am
Read comments and post your comment hereTTABlog note: I haven't figured out why the Board did not consolidate these appeals and issue one opinion.Text Copyright John L. [read post]
12 Dec 2014, 12:14 pm
On December 3, 2014, the Federal Trade Commission announced two administrative settlements with a medical Billing Provider, PaymentsMD, LLC, and its former CEO, Michael Hughes, for allegedly misleading thousands of consumers who signed up for an online billing portal by failing to adequately disclose that the company would seek detailed medical information from pharmacies, medical labs, and insurance companies. [read post]
12 Dec 2014, 4:00 am
The action against College Education Services LLC and its individual owners, which was filed jointly by the CFPB and the Florida Attorney General in a Florida federal district court, alleged that the company violated the Telemarketing Sales Rule (TSR), the Consumer Financial Protection Act (CFPA) prohibition of unfair, deceptive or abusive acts or practices and the Florida Deceptive and Unfair Trade Practices Act. [read post]
10 Dec 2014, 6:25 am
Securities, LLC (LaSalle) private placement deficiencies. [read post]
24 Nov 2014, 3:32 am
Its shares traded on the NYSE. [read post]
14 Oct 2014, 9:14 am
In Dart Cherokee Basin Operating Company, LLC v. [read post]
1 Sep 2014, 10:33 am
1909 Copyright Act:An Act to Amend and Consolidate the Acts Respecting Copyright, Pub. [read post]
