Search for: "E* Trade Securities LLC"
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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]
8 Apr 2019, 2:28 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
7 Apr 2019, 3:15 am
Brodeur (Éditions du Carnet), 2019 QCCQ 1613 no copyright found https://t.co/eKa95LDI6x 2019-04-02 The Unintended Equustek Effect: a reply to Michael Geist https://t.co/FQn31xuXK9 2019-04-02 The Unintended Equustek Effect: a reply to Michael Geist https://t.co/sfnXtEFxDu 2019-04-02 The Unintended Equustek Effect: a reply to Michael Geist, https://t.co/yjLtxytA2V 2019-04-02 Budget 2019: Cyber Security… [read post]
4 Apr 2019, 1:36 pm
The New Jersey Bureau of Securities announced that it has resolved its investigation of the online broker dealer Interactive Brokers LLC of Greenwich, CT (“Interactive”) relating to fraudulent trading activity and securities fraud Interactive permitted on its online trading platform. [read post]
3 Apr 2019, 10:00 am
Click below to listen to the full episode… https://www.makeitlastradio.com/ep-99/ Click below to read the full transcription… Announcer: Welcome to “Make It Last,” helping you keep your legal ducks in a row and your nest egg secure, with your host, Victor Medina, an estate planning and elder law attorney and certified financial planner. [read post]
3 Apr 2019, 3:13 am
According to the Securities and Exchange Commission charges against Talimco LLC and its former chief operating officer, Grant Gardner Rogers, they manipulated the auction of a commercial real estate mortgage asset on behalf of one client for the benefit of another in a cross-trade. [read post]
27 Mar 2019, 5:03 pm
Our firm has also handled many shareholders and LLC disputes between owners of closely held corporations, and LLCs. [read post]
27 Mar 2019, 2:33 pm
Background In 2009, Francis Lorenzo worked as the director of investment banking at Charles Vista, LLC, a broker-dealer. [read post]
26 Mar 2019, 1:20 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
21 Mar 2019, 9:18 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]
20 Mar 2019, 10:00 am
Social Security has got question marks around it. [read post]
