Search for: "E* Trade Securities LLC"
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20 Feb 2019, 6:04 am
In October 2006 a customer brought a complaint against Rosensweig alleging the broker violated the securities laws by making unauthorized trades. [read post]
20 Feb 2019, 5:00 am
SEC; NASDAQ Stock Market LLC v. [read post]
19 Feb 2019, 1:51 pm
The first one was filed on 5/10/2018, alleging “unauthorized trade of 6000 shares Rite Aid Corp unauthorized trade of 550 shares Valeant Pharmaceutical. [read post]
18 Feb 2019, 11:05 am
However, Puerto Rico bonds will continue to trade and investors will be forced to price in this new information. [read post]
14 Feb 2019, 1:48 am
E*Trade Securities LLC, Respondent (FINRA Arbitration Decision 18-02428 / February 21, 20... [read post]
13 Feb 2019, 2:30 pm
The post Commodity Futures Trading Commission Orders Couple Who Pleaded Guilty in $11M Futures Trading Scam to Pay Restitution appeared first on Securities Fraud Attorney. [read post]
11 Feb 2019, 11:00 am
In January, investors who had entrusted their money to Statim and Meyer filed a proposed class action securities fraud lawsuit against the hedge fund, Opus Fund Services USA LLC, Meyer, and his father-in-law Dr. [read post]
8 Feb 2019, 12:27 pm
The customer alleges that Chang over-concentrated in non-traded REITS that were unsuitable and caused losses to the account. [read post]
8 Feb 2019, 7:43 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]
8 Feb 2019, 6:04 am
Potential Changes to Fund of Funds Arrangements Posted by Thomas Hiller, Brian McCabe, and Edward Baer, Ropes & Gray LLP, on Friday, February 1, 2019 Tags: Exchange-traded funds, Investment advisers, Investment Advisers Act, Investor protection, Risk management, SEC, SEC rulemaking, Section 12(d), Securities regulation The Latest on Proxy Access Posted by Holly J. [read post]
8 Feb 2019, 4:22 am
Request for rulemaking to address how digital assets are regulated once a trade occurs (Public Petition to SEC for Rulemaking)https://www.sec.gov/rules/petitions/2018/petn4-736.pdfSubmitted by Vincent R. [read post]
6 Feb 2019, 1:15 pm
” These investments included risky, non-traded real estate investment trusts (REITs.) [read post]
6 Feb 2019, 12:26 pm
Morgan Securities LLC (CRD #79) of Mineola, NY. [read post]
6 Feb 2019, 7:04 am
From August 2002 until November 2011 Ebrahimi was registered with Stone & Youngberg LLC. [read post]
5 Feb 2019, 1:33 pm
FINRA began its investigation following the filing of a Form U5 by Varghese’s member firm, Pruco Securities, LLC. [read post]
5 Feb 2019, 12:20 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 Vero Beach, Florida. [read post]
5 Feb 2019, 11:42 am
Silver Law Group filed a claim against Arete Wealth Management, LLC alleging Arete’s broker recommended numerous unsuitable non-traded REITs and leveraged ETNs and ETFs to our elderly client. [read post]
4 Feb 2019, 5:04 pm
The Securities Litigation Uniform Standards Act of 1998 (“SLUSA”) precludes any “covered class action” based upon state law that alleges a misrepresentation in connection with the purchase or sale of nationally traded securities. [read post]
4 Feb 2019, 2:09 pm
Philip Sparacino has seven disclosures in his 11 years in the securities industry with six different firms, according to his FINRA BrokerCheck Report, and he has worked for First Standard Financial Company LLC in Red Bank, New Jersey since July 2, 2014, FINRA notes. [read post]
2 Feb 2019, 2:03 pm
Said Order further alleges that that Welo purportedly acted as an unregistered securities agent by handling client funds and make investment recommendations, and several complaints involve alternative investments, private placements, and direct participation products (DPPs) such as non-trade REITS’s. [read post]
