Search for: "US Trade and Exchange, LLC"
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20 Aug 2011, 10:41 pm
Charges include conspiracy to commit securities fraud and to obstruct a Securities and Exchange Commission probe. [read post]
9 May 2024, 9:35 am
These components were intended for use in the U.S. [read post]
16 Sep 2009, 6:18 am
Now it's Provident Royalties LLC making news. [read post]
2 Aug 2011, 5:01 pm
$30 million forex Ponzi scheme ends in guilty pleaDavid Lewalski has plead guilty to federal mail fraud charges in connection with a $30 million foreign exchange (“forex”) Ponzi scheme through his Florida-based company Botfly LLC. [read post]
12 Nov 2011, 11:45 am
The SEC’s civil action also permanently enjoins him from violating sections of the Securities Act of 1933, the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5. [read post]
12 Jul 2016, 8:48 am
According to the SEC’s order instituting a settled administrative proceeding, the coding error occurred in the software that Citigroup used from May 1999 to April 2014 to process SEC requests for blue sheet data, including the time of trades, types of trades, volume traded, prices, and other customer identifying information. [read post]
5 Nov 2019, 9:20 am
Clearance and settlement of securities trading in the U.S. is ripe for disruption using new technologies such as blockchain. [read post]
17 May 2012, 8:30 am
District Court of Utah in exchange for prosecutors dropping 25 other trade secret theft charges against him. [read post]
27 Jul 2016, 2:56 pm
© 2016 Vandenack Williams LLC For more information, Contact Us [read post]
27 Jul 2015, 7:26 am
” Reef Road Capital LLC is reported to have similar views, allegedly betting against exchange-traded funds that hold junk bonds. [read post]
10 Oct 2013, 7:11 am
JCI is accused of violating FINRA Rule 2020 and Rule 10b-5 of the Securities and Exchange Act of 1934 by taking part in pre-arraigned trades and improperly placing Fibrocell securities in the accounts of JCI customers. [read post]
29 Oct 2007, 9:41 pm
FACTS Norman Eisler used Klein & Co. [read post]
22 May 2020, 8:19 am
LLC, May 20, 2020, per curiam). [read post]
5 Apr 2010, 1:30 am
Northriver Trading) should give us pause, however right they may seem as a just disposition of the particular case. [read post]
19 Jun 2019, 11:17 am
Risks of Exchange-traded Funds An exchange-traded fund (ETF) is an investment fund traded on stock exchanges, much like stocks. [read post]
14 Jun 2019, 11:17 am
Risks of Exchange-traded Funds An exchange-traded fund (ETF) is an investment fund traded on stock exchanges, much like stocks. [read post]
26 May 2018, 10:10 am
The SEC does not contact investors to confirm trades, set up trading accounts, or record the details of trades. [read post]
10 Oct 2009, 2:36 pm
In that case, the criminal indictment alleged that Childs accepted bribes from traders at Assent LLC in exchange for not reporting their illegal trading to Assent management. [read post]
18 Jun 2014, 7:33 am
” The complaint alleges that from 2008 until 2013, Della Penna used these three private investment funds to raise $3.8 million by telling investors that their investments would be invested into small companies or traded in securities. [read post]
14 Nov 2011, 6:00 am
Rakotonanahary used some funds to pay personal expenses, and the rest the defendants used to make Ponzi payments to other clients. [read post]
