Search for: "E* Trade Securities LLC"
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26 Jul 2018, 11:41 am
The Securities and Exchange Commission (SEC) filed a complaint alleging that Oregon-based investment firm Aequitas Management, LLC (Aequitas Management) and its subsidiaries operated a Ponzi-like scheme that defrauded its 1,500 customers of approximately $350 million. [read post]
12 Aug 2009, 4:22 am
"We have recently faced significant challenges due to the well-published disruption of the [asset-backed securities] market," J.G. [read post]
25 Jun 2018, 8:23 am
From 2016 to 2018, Resciniti was registered with Spartan Capital Securities, LLC. [read post]
13 Dec 2023, 6:12 am
Concepts, LLC, a security company] properly supervised their employees—and had Wenig and Jones properly supervised Baugh—then they would have known (or should have known) that their employees were engaging in criminal activity. [read post]
26 Sep 2008, 6:25 pm
The suit alleges that H&R Block, Inc. and its subsidiary H&R Block Financial Advisors, Inc., violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 by deceiving investors about the investment characteristics of auction rate securities and the auction market in which the securities are traded. [read post]
6 Feb 2014, 9:40 pm
Motley Crue’s “Drum Ring” Isn’t Stolen Trade Secret King v. [read post]
5 Mar 2018, 1:23 pm
LLC (CRD® #361, New York, New York) A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured, fined $700,000 and required to submit a certification to FINRA® that its policies, systems, and procedures (including written procedures) and training, in connection with its prime services clearing business, are reasonably designed to achieve compliance with applicable rules in connection with delivery of exchange-traded funds… [read post]
16 Apr 2014, 7:10 am
Exch., LLC, No. 2013-1326 (Fed. [read post]
2 Dec 2022, 8:24 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 Seattle, Washington. [read post]
20 Aug 2021, 10:14 am
Managing Partner Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
7 Nov 2022, 6:37 am
In 2022, it was successful in securing $2.5 billion in restitution and penalties. [read post]
20 Mar 2014, 9:54 am
Hauser First Allied Securities, Inc.; Morris C. [read post]
28 Aug 2013, 3:38 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 Boca Raton, Florida. [read post]
16 Mar 2020, 8:45 am
Also, in 2012, FINRA sanctioned Citigroup global markets, LLC, Morgan Stanley and Co LLC; UBS Financial services; and Wells Fargo advisors LLC over more than $9.1million dollars for selling leveraged and inversed ETFs without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
16 Jun 2017, 5:54 am
From December 2003 until June 2014, Hill was associated with Dougherty & Company LLC. [read post]
19 Dec 2019, 10:13 am
Maughan exercised de facto control over the trust account and made all investment decisions in it, including what securities to buy and sell, the quantities of the securities to buy and sell and when each transaction would occur. [read post]
25 Aug 2015, 7:32 am
(CapWest) Thereafter, from August 2010, until April 2011, Tweed was registered with brokerage firm MAM Securities, LLC. [read post]
24 May 2021, 9:21 am
Boustead Securities, LLC and Brilliant Norton Securities Company Limited acted as lead underwriters for this firm commitment offering. [read post]
28 Jun 2011, 11:47 am
-based Highview Point Partners LLC as a relief defendant for allegedly holding funds tainted by the Ponzi scheme. [read post]
10 Jun 2013, 10:04 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 Boca Raton, Florida. [read post]
