Search for: "US Trade and Exchange, LLC"
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31 Dec 2012, 3:29 pm
Morgan), Facebook (Lown Companies, LLC v. [read post]
12 Mar 2014, 1:18 pm
The agreement between Kennedy and SignalPoint allowed Kennedy to offer investment services through SignalPoint in exchange for various fees on an independent contractor basis. [read post]
18 Oct 2016, 7:36 am
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
8 Apr 2021, 5:56 am
In December 2020,Eris Exchange, LLC (ErisX) self-certified three RSBIX NFL futures contracts for listing on the exchange, based on moneyline, point spread, and total points for individual NFL games. [read post]
13 Jun 2024, 7:17 am
The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection with a three-year scheme to defraud investors of at least $3 million. [read post]
20 Nov 2011, 6:21 pm
The majority of investor funds were instead used for non-trading purposes, including the payment of $12.5 million to existing investors in the form of purported returns. [read post]
8 May 2023, 11:36 am
Between January 2017 and December 2020, CAM held leveraged exchange-traded funds in advisory client accounts. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
30 Sep 2013, 1:56 pm
Examples of such behavior include misleading statements about company filings used to sell securities and insider trading. [read post]
30 Oct 2019, 5:22 pm
The Commodity Exchange Act, 7 U.S.C. [read post]
30 Oct 2019, 5:22 pm
The Commodity Exchange Act, 7 U.S.C. [read post]
31 Mar 2023, 10:32 am
There is no exception for publicly-traded companies. [read post]
10 Dec 2009, 1:42 am
The Securities and Exchange Commission says in a December 8, 2009 press release that Rockford Funding Group LLC used cold calling and a Web site to raise at least $11 million from more than 200 investors in 41 different states and Canada since March 2009. [read post]
30 May 2012, 7:43 pm
With no trading returns to pay to investors, Geringer instead used funds contributed by existing investors to create the false appearance that the Fund was profitable. [read post]
4 Jan 2023, 8:44 am
His entire operation is detailed in the petition by the US Securites & Exchange Commission filed the day after his arrest in the US District Court in the Southern District of New York. [read post]
8 Jun 2022, 9:01 pm
In 2009, off-exchange trading accounted for a quarter of U.S. equity volume. [read post]
22 Nov 2011, 7:20 pm
From at least June 2010 to August 2011, Gilliams and TL Gilliams, LLC ("TLG") solicited potential investors by representing that he would pool and use investor money to make large purchases and sales of Treasury STRIPS. [read post]
5 Jun 2012, 9:09 pm
The Securities and Exchange Commission wants the US Supreme Court to leave standing the U.S. [read post]
21 Dec 2016, 6:50 am
Tuffy provides us with a good recent example of this in the case of Idenix Pharmaceuticals LLC v Gilead Sciences Inc.A Magical decision? [read post]
30 Apr 2015, 12:49 pm
The C Corporation The C Corporation is the entity choice of virtually all companies trading on the stock exchange. [read post]
