Search for: "E* Trade Securities LLC"
Results 2101 - 2120
of 5,295
Sort by Relevance
|
Sort by Date
1 May 2019, 12:16 pm
According to BrokerCheck records financial advisor Gary Meier (Meier), formerly employed by Boz & Company LLC (Boz) and Cambridge Investment Research, Inc. [read post]
1 May 2019, 4:39 am
Cooper was the sole owner of Greenville Architectural Glass LLC (GAG) during the years 2007 through 2015. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
26 Apr 2019, 10:55 am
On December 6, 2017, the SEC alleged that while working at Four Points Capital Partners LLC, Berkey purportedly conducted in-and-out trading that was allegedly almost certain to lose money for customers while yielding commissions for himself. [read post]
26 Apr 2019, 9:53 am
Perry Equipment Corp. [read post]
25 Apr 2019, 12:45 pm
Those trades involved risky options that led to over $2.2M in losses. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade… [read post]
25 Apr 2019, 10:27 am
/Alliance Global Partners as lead placement agent, and Compass Point Research & Trading, LLC as co placement agent. [read post]
25 Apr 2019, 9:56 am
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 Vero Beach, Florida. [read post]
23 Apr 2019, 5:00 am
LLC, et al., No. 3:19-cv-154 (W.D.N.C. [read post]
22 Apr 2019, 7:38 am
Cross trading occurs whenever an adviser arranges a securities transaction between two parties, both of whom being advisory clients of the firm. [read post]
21 Apr 2019, 10:14 am
Lyons, LLC (JJB Hilliard), has been subject to at least thirteen customer complaints and one regulatory action during the course of his career. [read post]
19 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
17 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
16 Apr 2019, 11:52 am
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
16 Apr 2019, 10:53 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]
16 Apr 2019, 10:53 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]
15 Apr 2019, 8:31 am
Davila entered the securities industry in 1987. [read post]
12 Apr 2019, 4:26 am
On December 13, 2012, K&S Holding Trading Corp. deeded the property to Kitty Hawk Holdings, LLC. [read post]
11 Apr 2019, 11:53 am
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 Vero Beach, Florida. [read post]
