Search for: "US Trade and Exchange, LLC"
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23 Jun 2009, 3:07 pm
It is no less unfair to require investors to file their claims in a forum sponsored by the brokerage firms' trade organization (which until recently was called the National Association of Securities Dealers) with one of the arbitrators being a used securities salesman. [read post]
9 Oct 2007, 3:32 pm
To learn whether we may be able to assist you with a claim contact us to arrange a free consultation with one of our attorneys. [read post]
4 Jul 2012, 6:29 pm
Dark pools, which are off-exchange private trading venues that don’t show quotes to the public, are involved in about 15% of off-exchange trading. [read post]
11 Sep 2009, 7:55 am
Diamond is accused of misappropriating funds received by over 200 clients who intended that their investments be traded on the foreign exchange market ("FOREX"). [read post]
7 Apr 2011, 10:56 pm
For a payment of $11.2 million, Wells Fargo & Co. will settle US Securities and Exchange Commission allegations that Wachovia Capital Markets LLC misled investors and improperly sold two collateralized debt obligations in 2007 and 2006. [read post]
19 Apr 2019, 6:38 pm
These claims are directed to a financial trading method used by a computer. [read post]
7 Sep 2017, 8:18 am
State Street used false trading statements, pre-trade estimates, and post-trade reports to misrepresent its compensation on various transactions, especially purchases and sales of bonds and other securities that trade outside large transparent markets. [read post]
7 Jun 2010, 5:01 am
With much of the trading of NYSE stocks taking place off the exchange, surveillance by the NYSE of its own activities was capturing less and less of the market. [read post]
7 Nov 2008, 5:02 pm
The commission says that David Tashjian, the Lazard Capital Markets's former US sales and trading department head, and W. [read post]
7 Aug 2013, 6:30 am
(Harbinger Group), a publicly traded investment company, announced that the US Securities and Exchange Commission (SEC) had rejected an agreement in principle that Harbinger Group had reached with the staff of the SEC’s Enforcement Division. [read post]
23 Dec 2011, 10:29 am
The relief required by the consent decree is intended to settle U.S. allegations that the merger would substantially lessen competition or potential competition in three relevant markets: (1) displayed equity trading services; (2) listing services for exchange-traded products (ETPs), including exchange-traded funds; and (3) real-time proprietary equity data products in the United States. [read post]
5 Jul 2019, 7:36 am
The US Securities and Exchange Commission (SEC) is accusing Paul Andrews Rinfret, Plandome LLC, and Plandome Partners LP of defrauding investors in a securities offering scam. [read post]
30 Aug 2017, 6:59 am
The plaintiffs, a financial services firm and two proprietary trading firms, contend that the banks abused their position as primary dealers to manipulate an important benchmark in violation of the Commodity Exchange Act, the Sherman Act, and common law (Breakwater Trading LLC v. [read post]
27 Jan 2017, 9:11 am
Also, even if competitors don’t explicitly agree to limit or suppress compensation, the mere exchange of compensation information among employers may violate the antitrust laws if it has the effect of suppressing compensation. [read post]
30 Jul 2009, 7:23 am
In 2008, the FTC sued Integrity Financial Enterprises, LLC (which did business as Infinite Financial and National Benefits Exchange), National Benefits Exchange, Inc., and the companies' owner, alleging that they promised consumers a "credit card" that could be used like a Visa or MasterCard for an up-front fee of $200 to $300, but which actually could be used only to buy products from the defendants' Web site or catalog. [read post]
16 Apr 2014, 7:10 am
., LLC, No. 2013-1326 (Fed. [read post]
23 Aug 2018, 5:13 am
Unauthorized trading is often a gateway violation to other securities violations including churning, unsuitable investments, and excessive use of margin. [read post]
21 Nov 2022, 9:02 am
LLC Jefferies LLC Morgan Stanley & Co. [read post]
28 Nov 2022, 9:02 am
LLC Jefferies LLC Morgan Stanley & Co. [read post]
22 Jan 2024, 8:14 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
