Search for: "E* Trade Securities LLC"
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27 Jan 2017, 6:08 am
Dyson, K&L Gates LLP, on Saturday, January 21, 2017 Tags: Algorithmic trading, Broker-dealers, BSA/AML, Disclosure, Due diligence, Financial institutions, FINRA, High-frequency trading, Investor protection, Money laundering, Private enforcement, Reporting regulation, Risk management, Securities enforcement Top 10 Topics for Directors in 2017 Posted by Kerry E. [read post]
27 Jan 2017, 6:00 am
He’s accused of using confidential information gleaned from MSD’s computer system to score $1.5 million in illegal trading profits last year on Apollo Global Management LLC’s takeover of alarm-manufacturer ADT Security Services. [read post]
27 Jan 2017, 4:54 am
That darn Federal Trade Commission tested it. [read post]
27 Jan 2017, 4:24 am
These agencies and the Federal Trade Commission have offered guidance to help curb these attacks. [read post]
27 Jan 2017, 4:24 am
These agencies and the Federal Trade Commission have offered guidance to help curb these attacks. [read post]
25 Jan 2017, 6:08 am
Our securities fraud attorneys are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against Brian Egan (Egan) formerly associated with Independent Financial Group LLC (Independent Financial) alleging that the broker failed to disclose his trading activity in client accounts away from the firm. [read post]
21 Jan 2017, 10:23 am
Many of the complaints involve leveraged and non-traditional exchange traded funds (ETFs) securities. [read post]
20 Jan 2017, 7:38 am
The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Matthew Meehan. [read post]
20 Jan 2017, 7:38 am
The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Matthew Meehan. [read post]
20 Jan 2017, 6:13 am
Rosof, Wachtell, Lipton, Rosen & Katz, on Tuesday, January 17, 2017 Tags: Acquisitions, Financial regulation, Financing conditions, Interest, Leveraged acquisitions, Liquidity, Mergers & acquisitions, Risk oversight, Securities regulation, Taxation Say on Pay Laws, Executive Compensation, CEO Pay Slice, and Firm Value around the World Posted by Ricardo Correa, Federal Reserve Board, and Ugur Lel, University of Georgia, on Wednesday, January 18, 2017 Tags: Compensation… [read post]
18 Jan 2017, 1:35 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. [read post]
18 Jan 2017, 6:40 am
The dispute over legal fees arose when the employer subsequently secured a fee award for its expenditures in fighting the claims. [read post]
16 Jan 2017, 10:57 am
The FTC has gone after a wide range of data security related private offenders in 2016 including: digital advertising companies (Turn Inc.), medical service providers (LabMD, Inc.), and telemarketing operations (Data Guri LLC). [read post]
16 Jan 2017, 8:24 am
,is a non-traded real estate investment trust that acquires and owns hotels in the United States. [read post]
15 Jan 2017, 4:30 am
Competition Bureau drops probe into Apple's iPhone deals with carriers https://t.co/vGQkQgC5FR -> Now BMI takes on the US Radio industry https://t.co/mTGDXra2cE -> Online databases dropping like flies, with >10k falling to ransomware groups https://t.co/VEo9oS5jnw -> Ontario Court of Appeal confirms $80,000 lonline ibel judgment against Ezra Levant https://t.co/j6Ofb3Hkj6 -> US warns of 'imminent' cyberattack threat on electrical grid… [read post]
14 Jan 2017, 7:45 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]
14 Jan 2017, 6:49 am
(Sterne Agee) and Interactive Brokers LLC (Interactive Brokers) alleging that the firms failed to supervise Mustaphalli’s misconduct. [read post]
14 Jan 2017, 2:25 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]
6 Jan 2017, 1:00 am
Hawke, Arnold & Porter Kaye Scholer LLP, on Wednesday, January 4, 2017 Tags: Derivatives, Hedging, Information asymmetries, Inside information, Insider trading, International governance, Rule 10b-5, SEC enforcement, Section 10(b), Securities enforcement, Securities regulation, UK REIT M&A, Governance and Activism—Themes for 2017 Posted by Adam O. [read post]
5 Jan 2017, 9:15 am
It is not sufficient for an individual to be licensed if the business entity, corporation or LLC, which is contracting with the homeowner, is not licensed. [read post]
