Search for: "E* Trade Securities LLC"
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27 Sep 2018, 2:44 pm
Similarly, the Federal Trade Commission Act does not expressly prohibit a private right of action, yet it has been interpreted to preclude such actions because its enforcement lies with the Federal Trade Commission. [read post]
27 Sep 2018, 6:24 am
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
26 Sep 2018, 2:39 pm
Stein criticized the Commission for limiting the disclosure requirements to platforms trading NMS stocks, calling for a “minimum set of rules” for all ATSs, including those trading over-the-counter equity securities, government securities, municipal securities, and corporate debt securities. [read post]
26 Sep 2018, 2:39 pm
Stein criticized the Commission for limiting the disclosure requirements to platforms trading NMS stocks, calling for a “minimum set of rules” for all ATSs, including those trading over-the-counter equity securities, government securities, municipal securities, and corporate debt securities. [read post]
25 Sep 2018, 12:32 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]
25 Sep 2018, 9:27 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]
25 Sep 2018, 7:35 am
At Gana Weinstein LLP, our attorneys are experienced representing investors who have suffered securities losses due excessive trading and other securities laws violations. [read post]
24 Sep 2018, 2:02 pm
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
24 Sep 2018, 6:42 am
Finch & Maloney PLLC Brown & Michaels, PC Buckley Maschoff & Talwalkar LLC [read post]
24 Sep 2018, 6:22 am
Jessee entered the securities industry in 1986. [read post]
23 Sep 2018, 9:50 am
Hubbard, for Cash Zone, LLC d/b/a Cash Biz, Respondent.Patrick E. [read post]
21 Sep 2018, 2:32 pm
As alleged by the SEC, World Tree manages all of its clients’ assets on a discretionary basis, meaning that it has authorization to trade securities on behalf of its clients. [read post]
21 Sep 2018, 7:48 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]
21 Sep 2018, 5:57 am
The findings stated that the trades included customer purchases of various mutual funds and exchange traded funds that were unknown to the customers prior to Irving recommending the securities. [read post]
21 Sep 2018, 5:12 am
” Shares of ATEL 15 LLC have recently sold on Central Trade and Transfer, a secondary market for private placements, for just $3.87/share. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
19 Sep 2018, 1:32 pm
From May 1999 to March 2000, Ford was registered with Park Avenue Securities LLC. [read post]
19 Sep 2018, 11:28 am
Moreover, to judge from the lengths he has gone to reach out for issues and keep them alive when he is in a minority,[20] he would work to secure certiorari—which requires only four votes—in cases that Justice Kennedy would not have favored. [read post]
19 Sep 2018, 7:19 am
According to the SEC’s complaint, from at least 2014 through 2016, Romer allegedly persuaded at least 30 of his customers, including many elderly retirees, to sell securities in their brokerage accounts and transfer the proceeds to P&R Capital, LLC or CoreCap Solutions, LLC. [read post]
18 Sep 2018, 2:26 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]
