Search for: "E* Trade Securities LLC"
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7 Feb 2017, 9:27 am
Vanguard has obtained a $50 million debtor-in-possession financing facility underwritten by Citibank, JPMorgan Securities LLC and Wells Fargo Bank. [read post]
6 Feb 2017, 10:41 am
” For its part, the Wireline Competition Bureau reconsidered earlier orders and revoked the Lifeline Broadband Provider designation for nine entities — Spot On Networks LLC, Boomerang Wireless LLC, KonaTel Inc., STS Media, Inc., Applied Research Designs, Inc., Kajeet Inc., Liberty Cablevision of Puerto Rico, LLC, Northland Cable Television, Inc., and Wabash Independent Networks, Inc. [read post]
6 Feb 2017, 7:21 am
From August 2005 through August 2015, Dishner was registered with Credit Suisse Securities LLC. [read post]
6 Feb 2017, 7:21 am
From August 2005 through August 2015, Dishner was registered with Credit Suisse Securities LLC. [read post]
4 Feb 2017, 8:27 am
From September 2013 until April 2014 Siegel was associated with Concorde Investment Services, LLC. [read post]
2 Feb 2017, 7:59 am
Breton, through SCM, bought public companies’ securities using a block trading omnibus account known as a “Master Account. [read post]
2 Feb 2017, 7:59 am
Breton, through SCM, bought public companies’ securities using a block trading omnibus account known as a “Master Account. [read post]
1 Feb 2017, 6:08 am
In Jones Printing, LLC v. [read post]
30 Jan 2017, 6:23 am
Regency GP LLC, et al., No. 208, 2016 (Del. [read post]
30 Jan 2017, 6:16 am
At that time, Likens was terminated after allegations were made that he engaged in trading away from the firm. [read post]
29 Jan 2017, 12:40 pm
TIAA-CREF Individual & Institutional Services, LLC (CRD #20472 , New York, New York) submitted an AWC in which the firm was censured and fined $275,000. [read post]
27 Jan 2017, 12:53 pm
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Sorensen (Sorensen) currently associated with Allegis Investment Services, LLC (Allegis Investment), d/b/a Soresnsen Financial, Inc., alleging unsuitable investments, unauthorized trading, and misrepresentations among other claims. [read post]
27 Jan 2017, 12:52 pm
From December 2008 until December 2012, Miranda was associated with Obsidian Financial Group, LLC. [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
27 Jan 2017, 9:11 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]
27 Jan 2017, 9:11 am
Defend Trade Secrets Act One of the most significant developments of 2016 that will likely have a profound impact on trade secret cases in the coming years was the enactment of the Defend Trade Secrets Act (“DTSA”). [read post]
27 Jan 2017, 9:11 am
Defend Trade Secrets Act One of the most significant developments of 2016 that will likely have a profound impact on trade secret cases in the coming years was the enactment of the Defend Trade Secrets Act (“DTSA”). [read post]
27 Jan 2017, 8:48 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]
27 Jan 2017, 8:33 am
The article looked at commercial contracts by publicly traded companies that were reported to the Security Exchange Commission using Form 8-Ks. [read post]
