Search for: "E* Trade Securities LLC"
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11 Nov 2016, 1:23 pm
On October 16, 2016, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings (the “Order”) against mobile phone application (“App”) Forcerank LLC (“Forcerank”) pursuant to violations of Section 8A of the Securities Act of 1933, and Section 21C of the Securities Exchange Act of 1934. [read post]
11 Nov 2016, 4:07 am
Morgan Securities LLC (collectively, “Lead Underwriters”). [read post]
9 Nov 2016, 2:53 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 Vero Beach, Florida. [read post]
7 Nov 2016, 7:22 pm
To illustrate the extraordinary impact of digital evidence, consider the history of traditional documentary evidence used in trials and prosecutions. [read post]
3 Nov 2016, 8:50 am
If you invested in CNL Lifestyle Properties or another non-traded REIT and would like to discuss your litigation options with a securities attorney, please call The White Law Group at 1-888-637-5510 for a free consultation. [read post]
2 Nov 2016, 9:13 am
According to his Broker Check, Eubanks was registered with Bright Trading, LLC in Las Vegas, NV from 03/2010 – 08/2016. [read post]
31 Oct 2016, 10:55 pm
Many microcap stocks trade in the “over-the-counter” (OTC) market. [read post]
31 Oct 2016, 12:55 pm
Many microcap stocks trade in the “over-the-counter” (OTC) market. [read post]
28 Oct 2016, 1:00 am
Securities & Exchange Commission, on Wednesday, October 26, 2016 Tags: Bonds, Broker-dealers, Dodd-Frank Act, Due diligence, Information asymmetries, Institutional Investors, Investor protection, Misconduct, Municipal securities, Pension funds, Public finance, SEC, SEC enforcement, Securities enforcement, Securities fraud, Securities regulation Gender Differences in Executives’ Access to Information Posted… [read post]
26 Oct 2016, 9:05 pm
The Securities and Exchange Commission has settled an enforcement action against Forcerank, LLC, a provider of a mobile phone game that enables players to engage in fantasy stock trading for a small charge, much of which was refunded to players in the form of prizes for successful predictions. [read post]
26 Oct 2016, 7:51 am
Lebel was a broker and former representative of registered broker-dealer and investment advisor, LPL Financial LLC (“LPL”). [read post]
26 Oct 2016, 7:11 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]
21 Oct 2016, 1:00 am
Langevoort, Georgetown University Law Center, on Thursday, October 20, 2016 Tags: Behavioral finance, Compliance & ethics, Disclosure, Diversity, Information environment, Insider trading, Investor protection, Market efficiency, Misconduct, Overconfidence, Securities regulation Voting Standards Are Not that Standard Posted by Daniel E. [read post]
20 Oct 2016, 5:56 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]
19 Oct 2016, 1:02 pm
RBC Capital Markets, LLC, October 13, 2016, Nelson, S.).Risky notes. [read post]
19 Oct 2016, 7:27 am
Sterling, LLC. [read post]
19 Oct 2016, 7:12 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]
19 Oct 2016, 6:58 am
According to FINRA, Tauzin was also allegedly discharged from LPL Financial LLC on 11/12/14 for “violation of the firm’s document signature policy and concerns regarding short term UIT trading. [read post]
18 Oct 2016, 6:49 pm
They threaten litigation in the hope of securing license fees or settlements. [read post]
18 Oct 2016, 9:14 am
LeadClick Media, LLC, 2016 U.S. [read post]
