Search for: "E*Trade Securities LLC"
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21 Jul 2017, 6:04 am
Friedman-Boyce and Brian E. [read post]
1 Jul 2022, 9:42 am
Commerce/E-Commerce * Turo v. [read post]
27 Jan 2016, 6:25 am
CAT3, LLC v. [read post]
1 Feb 2019, 10:51 am
Julie E. [read post]
30 Oct 2019, 5:22 pm
The next day, on October 2, 2019, the CFTC announced it was settling charges against interdealer brokers BGC Financial, LP and GFI Securities, LLC for spoofing in the financial futures market. [read post]
30 Oct 2019, 5:22 pm
The next day, on October 2, 2019, the CFTC announced it was settling charges against interdealer brokers BGC Financial, LP and GFI Securities, LLC for spoofing in the financial futures market. [read post]
2 Oct 2012, 1:08 pm
Burge, CPA, and Wayne E. [read post]
30 Dec 2011, 7:27 am
Madoff Investment Securities LLC was transferred to her estate and liquidated for approximately $2 million and the Trustee administering the Madoff liquidation filed a clawback suit against Mr. [read post]
10 Jun 2020, 3:43 am
“YES, whose holdings peaked around $6 billion in mid-2018, effectively borrows against clients’ holdings at UBS and uses the proceeds to trade options,” according to a recent Wall Street Journal article. [read post]
22 May 2019, 3:56 am
The SEC also concluded that the voting rights of the DAO Token holders were limited, noting, “[e]ven if an investor’s efforts help to make an enterprise profitable, those efforts do not necessarily equate with a promoter’s significant managerial efforts or control over the enterprise. [read post]
15 Nov 2023, 6:26 am
E. [read post]
7 Feb 2022, 8:01 am
The agency is also currently reviewing whether China-controlled Pacific Networks Corp. and its ComNet (USA) LLC unit pose similar risks to U.S. national security. [read post]
15 Jan 2016, 12:34 pm
In this case, Aurora, LLC was the prime contractor for security clearance purposes only. [read post]
10 Jun 2016, 7:16 am
Only Tier 2 companies are required to file a Form 1-K, one of trade-offs for not having to register with the states. [read post]
5 Aug 2021, 12:33 pm
FINRA Rules Require Those Engaged in Securities Business To Register FINRA Rule 2010 requires that “[e]ach person engaged in the investment banking or securities business of a member shall be registered with FINRA as a representative or principal. [read post]
20 Mar 2020, 6:17 am
Posted by Kai Haakon E. [read post]
12 May 2010, 1:39 pm
Fifth: The system must be simple, stable and secure. [read post]
25 Nov 2016, 1:01 am
Rosen and Charles E. [read post]
4 Feb 2014, 11:23 am
[TTABlogged here].In re Waves Licensing, LLC, Appeal No. 14-1202 (Serial No. 85437501, September 30, 2013) [Section 2(d) refusal to register the mark SFG for "providing financial intermediation services to institutional investors with respect to securities and other financial instruments and products, namely, brokerage in the field of securities, trading of and investments in securities and financial instruments and products; financial exchange;… [read post]
8 Mar 2012, 8:00 am
In Grace Hunt IT Solutions, LLC v. [read post]
