Search for: "E* Trade Securities LLC"
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9 Dec 2011, 8:31 pm
The Securities and Exchange Commission says that it has resolved its Colorado securities fraud lawsuit against Universal Consulting Resources LLC (UCR) and the financial firm’s owner, Richard Dalton. [read post]
24 Sep 2018, 2:02 pm
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
21 Mar 2020, 3:11 pm
Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by New York Stock Exchange LLC (NYSE) to facilitate electronic auctions in light of its decision to temporarily close its New York trading…Read the Full Press ReleaseHave a securities law question? [read post]
7 Jan 2021, 7:43 am
Continue reading The post Antonio Almeida, with Worden Capital Management LLC, Suspended by FINRA appeared first on Securities Arbitration Lawyer Blog. [read post]
20 Nov 2009, 3:09 pm
The SEC, in an administrative proceeding, found that Joseph John VanCook, a former salesperson and partial owner of Pritchard Capital Partners, LLC, a registered broker-dealer, willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule... [read post]
18 Dec 2019, 12:31 pm
The Securities and Exchange Commission today announced settled charges against two registered broker-dealers, Bluefin Trading LLC and Critical Trading LLC, for violating the so-called “short tender rule” and enriching themselves at the expense of other…Read the Full Press ReleaseHave a securities law question? [read post]
7 Aug 2017, 9:30 am
The findings stated that the firm failed to disclose all material facts concerning 14 municipal securities transactions at or prior to the time of trade. [read post]
25 Jun 2020, 8:24 am
When brokers engage in excessive trading, sometimes referred to as churning, the broker will typical trade in and out of securities, sometimes even the same stock, many times over a short period of time. [read post]
30 Jul 2018, 9:03 am
Unauthorized trading occurs when a broker sells securities without the prior written consent from the investor. [read post]
21 Sep 2018, 5:12 am
” Shares of ATEL 15 LLC have recently sold on Central Trade and Transfer, a secondary market for private placements, for just $3.87/share. [read post]
4 Apr 2022, 8:10 am
Narith Long (CRD# 6598152) is a previously registered broker whose last known employer was NY Life Securities LLC (CRD#:5167) of Glendale, CA. [read post]
11 Sep 2020, 2:36 pm
The post SEC Sues RRBB Asset Management, LLC And Owner Carl Schwartz In Alleged “Cherry Picking” Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
30 Oct 2023, 1:15 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
31 Aug 2011, 11:57 am
Farukiof of Aurora, Illinois and his advisory firm Neural Markets LLC solicited highly sophisticated individuals to invest in the "Evolution Quantitative 1X Fund," a hedge fund they managed that supposedly used a proprietary algorithm to carry out an arbitrage strategy involving trading in liquid exchange-traded funds (ETFs). [read post]
13 May 2021, 9:38 am
Other Investigative Blog Posts: Arive Capital Markets, LLC Continue reading The post Investigative Report: Worden Capital Management LLC’s Owners, Executives, and Brokers Have Concerning Red Flag Disclosures appeared first on Securities Arbitration Lawyer Blog. [read post]
12 Jul 2021, 8:00 am
First, FINRA found that Robinhood has pervasively and negligently provided false or misleading information to its customers. [1] This false information was circulated in spite of Robinhood’s core mission to “de-mystify finance for all” and “democratize finance,” and ranged from misrepresenting customer account balances and buying power, to erroneous communication about customers facing margin calls. [2] Continue Reading › The post FINRA Orders… [read post]
15 Apr 2008, 10:38 am
First Interstate Banking litigation, as to the materiality of omissions as measured by the standards of federal securities law. [read post]
18 Mar 2014, 4:33 pm
The agreements stemmed from the companies trading in residential mortgage-backed securities (RMBS) and funds created through the Troubled Asset Relief Program (TARP). [read post]
4 Dec 2023, 1:45 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 Seattle, Washington. [read post]
7 Apr 2021, 6:38 am
Unauthorized trading occurs when a broker sells securities without the prior consent from the investor. [read post]
