Search for: "US Trade and Exchange, LLC"
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12 Apr 2023, 11:39 am
At least five different alleged schemes were related to or based on cryptocurrency assets, including actions involving allegedly fraudulent exchanges, mining platforms, trading, and investment funds. [read post]
12 Apr 2023, 8:25 am
Hedge funds usually use borrowed money to boost returns. [read post]
11 Apr 2023, 11:53 am
Securities, LLC. [read post]
10 Apr 2023, 8:56 am
According to the rulemaking petition, the soon-to-be-argued Supreme Court case Slack Technologies, LLC v. [read post]
6 Apr 2023, 7:23 am
To use the free online tool, click here: FINRA BrokerCheck. [read post]
5 Apr 2023, 7:14 pm
Despite not having the necessary written authorizations or firm approval, Gann purportedly used his discretion to make approximately 500 trades in the affected customers’ accounts. [read post]
5 Apr 2023, 2:05 pm
The SEC’s complaint indicated that Coggeshall purportedly deposited investors’ funds into brokerage and bank accounts in the name of an entity that he owned and allegedly used investor funds to trade securities, incurring significant losses, and to pay personal expenses and to make payments to investors. [read post]
31 Mar 2023, 10:32 am
There is no exception for publicly-traded companies. [read post]
30 Mar 2023, 6:52 am
Securities and Exchange Commission (SEC) in 2019. [read post]
28 Mar 2023, 5:44 am
This exchange says so much about Christine: a beam of ambition, with the singular and unwavering purpose of serving at the highest level of the Federal Trade Commission. [read post]
27 Mar 2023, 9:01 pm
Conversely, “Retail Trade” filings increased from 4% to 9%, the high watermark in recent years. [read post]
27 Mar 2023, 8:09 pm
September 2019 – The Financial Industry Regulatory Authority Inc. reportedly censured Newbridge Securities and fined the firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged, inverse and inverse-leveraged exchange-traded funds. [read post]
27 Mar 2023, 9:06 am
The rule went into effect in 2016 after receiving approval from the Securities and Exchange Commission (SEC). [read post]
24 Mar 2023, 7:11 am
The broker must use the standard of care and diligence needed to protect the customer’s interest. [read post]
17 Mar 2023, 2:56 pm
To discuss your options with a lawyer at Zamansky LLC, call 212-742-1414 or tell us how we can reach you online today. [read post]
6 Mar 2023, 1:37 pm
The Strategy stresses the importance of creating a distributed network of cyber defense, developed by collaboration between defenders and enabled by the automated exchange of information. [read post]
6 Mar 2023, 1:41 am
DLA Piper provides an update on the EU-US adequacy decision for the US and the EU-US Data Privacy Framework. [read post]
1 Mar 2023, 12:27 pm
There are structured products, which are combinations between stocks and bonds, exchange traded funds, a lot of people know about a trade like a stock, and they’re basically similar, you know, to the index, like an s&p 500 index. [read post]
1 Mar 2023, 9:58 am
LLC, (Fed. [read post]
1 Mar 2023, 7:55 am
Sometimes they bought coins that no longer trade. [read post]
