Search for: "E* Trade Securities LLC"
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12 Sep 2011, 7:23 am
John Thomas Financial of New York, or JTF, agreed to a fine of $275,000, First Midwest Securities Inc. of Bloomington, Ill., agreed to pay $150,000, Aandamp;F Financial Securities Inc. of Syosset, N.Y., agreed to a fine of $125,000, and Salomon Whitney LLC, of Babylon Village, N.Y., agreed to pay $60,000. [read post]
12 Sep 2011, 7:23 am
John Thomas Financial of New York, or JTF, agreed to a fine of $275,000, First Midwest Securities Inc. of Bloomington, Ill., agreed to pay $150,000, Aandamp;F Financial Securities Inc. of Syosset, N.Y., agreed to a fine of $125,000, and Salomon Whitney LLC, of Babylon Village, N.Y., agreed to pay $60,000. [read post]
12 Sep 2011, 7:28 am
John Thomas Financial of New York, or JTF, agreed to a fine of $275,000, First Midwest Securities Inc. of Bloomington, Ill., agreed to pay $150,000, Aandamp;F Financial Securities Inc. of Syosset, N.Y., agreed to a fine of $125,000, and Salomon Whitney LLC, of Babylon Village, N.Y., agreed to pay $60,000. [read post]
6 Feb 2021, 11:00 am
MCC is a low-priced thinly traded security and is a non-diversified closed end management investment company incorporated in Delaware that is a business development company (BDC). [read post]
26 Apr 2010, 3:10 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
15 Dec 2020, 9:45 am
Our client was a financial advisor at broker-dealer Morgan Stanley Smith Barney, LLC (Morgan Stanley). [read post]
31 Jul 2023, 6:49 am
We also tap attorneys from the firm’s other practice groups and our subsidiary McGuireWoods Consulting LLC. [read post]
8 Jan 2010, 9:12 am
Next Financial also is one of a number of independent broker/dealers with advisers connected to sales of private securities of an oil and gas partnership, Provident Asset Management LLC. [read post]
7 Nov 2011, 6:30 am
Additionally, the supplemental order requires the following six relief defendants to disgorge more than $23.3 million in ill-gotten gains recieved as a result of the defendants’ fraudulent conduct: Secure Wealth Fund, LLC; Heritage Growth Fund, LLC; Dominion Growth Fund, LLC; Two Oaks Fund, LLC; Dynasty Growth Fund, LLC; and Queen Shoals Group, LLC. [read post]
18 Sep 2022, 2:28 pm
UBS Securities LLC. [read post]
3 Apr 2015, 3:52 pm
District Court for the Northern District of Illinois granted Standard & Poor’s Financial Services, LLC’s and Moody’s Investors Service, Inc. [read post]
27 Nov 2023, 9:01 pm
The company’s board authorized the buybacks and predicated the authorization on the company’s use of trading plans that comply with the affirmative defense provided by Rule 10b5-1 under the Securities Exchange Act of 1934. [read post]
26 May 2020, 4:45 pm
Int’l Value Advisers, LLC, No. 19-560-CV, 2020 WL 2549507 (2d Cir. [read post]
10 Feb 2012, 1:25 pm
Naturally, their securities are traded on the secondary markets. [read post]
22 Jan 2020, 1:01 pm
On or around May 20, 2017, Dental Dynamics secured the sale of the X-Ray unit from Jolly Dental to Dr. [read post]
8 Feb 2018, 2:00 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]
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]
8 Mar 2017, 11:49 am
Allegations include misrepresentation, unsuitability and excessive trading. [read post]
3 Apr 2019, 3:13 am
According to the Securities and Exchange Commission charges against Talimco LLC and its former chief operating officer, Grant Gardner Rogers, they manipulated the auction of a commercial real estate mortgage asset on behalf of one client for the benefit of another in a cross-trade. [read post]
20 Dec 2010, 10:32 am
On Nov. 15, 2010, the SEC added to the list of defendants a hedge fund and one of its former managing directors, alleging that the managing director traded 3Com Corp. securities on behalf of the fund ahead of an upcoming announcement of an acquisition of 3Com based on material nonpublic information about the announcement that originated with Cutillo. [read post]
