Search for: "E* Trade Securities LLC"
Results 3001 - 3020
of 5,295
Sorted by Relevance
|
Sort by Date
29 May 2018, 12:00 am
For the above reasons, the court granted Cowan’s motion to dismiss Plaintiffs’ Section 14(a) and 20(a) Securities Exchange Act of 1934 claims. [read post]
10 Jan 2019, 8:47 am
He was employed in the securities industry for over 20 years. [read post]
19 Apr 2010, 8:08 am
" The SEC complaint alleges that Goldman used marketing materials for Abacus 2007 which falsely represented that the portfolio of mortgage-backed securities which formed the CDO were selected by ACA Management LLC ("ACA"), a firm with experience in analyzing mortgage-backed securities. [read post]
23 Oct 2009, 7:22 am
Barbara Ann Hackel owned Southwest Transit and Wagner owned Southwest Transit Leasing LLC, which leased buses to Southwest. [read post]
13 Nov 2020, 6:11 am
Warkol, Schulte Roth & Zabel LLP, on Friday, November 6, 2020 Tags: Broker-dealers, Capital formation, Equity offerings, Investor protection, Registration exemptions, SEC, SEC rulemaking, Securities regulation, Solicitation Avoiding Blowback from Your Stock Buyback Posted by Daniel Wolf and Joshua Korff, Kirkland & Ellis LLP, on Friday, November 6, 2020 Tags: Compliance &… [read post]
23 Nov 2016, 1:26 pm
DiGaetano entered the securities industry in 1994. [read post]
1 Aug 2024, 2:59 pm
Jarkesy, ruling that the Securities and Exchange Commission’s (SEC) use of in-house tribunals for civil penalties in securities fraud cases violates the Seventh Amendment’s guarantee of a trial by jury. [read post]
1 Aug 2024, 2:59 pm
Jarkesy, ruling that the Securities and Exchange Commission’s (SEC) use of in-house tribunals for civil penalties in securities fraud cases violates the Seventh Amendment’s guarantee of a trial by jury. [read post]
13 Nov 2009, 6:57 am
Madoff Investment Securities LLC for more than 15 years. [read post]
24 Aug 2009, 12:34 pm
Balls of Kryptonite, LLC, is based out of Pasadena, California. [read post]
19 Jun 2023, 10:30 pm
The Federal Trade Commission issues a compulsory order to a third group purchasing organization (GPO) that negotiates drug rebates on behalf of PBMs. [read post]
4 Feb 2014, 11:23 am
[TTABlogged here].In re Waves Licensing, LLC, Appeal No. 14-1202 (Serial No. 85437501, September 30, 2013) [Section 2(d) refusal to register the mark SFG for "providing financial intermediation services to institutional investors with respect to securities and other financial instruments and products, namely, brokerage in the field of securities, trading of and investments in securities and financial instruments and products; financial exchange;… [read post]
16 Feb 2012, 6:00 am
” The commenter also requested that the Commission review the current standards of the PHLX with respect to the listing and trading of securities to determine whether the current listing standards of PHLX are substantially similar to standards of Named Market. [read post]
23 May 2024, 5:39 am
In Ryan, LLC v. [read post]
7 Jul 2014, 5:39 am
Alijaj put all of Claimants’ funds into just three extremely thinly traded and highly volatile stocks. [read post]
27 Aug 2014, 5:21 pm
, PRACTICAL TRADE AND CUSTOMS STRATEGIES (May, 2014); Food Safety Modernization Act Implications for U.S. [read post]
1 Jun 2021, 1:29 pm
Lake Street Capital Markets, LLC and B. [read post]
25 Apr 2011, 2:40 am
As alleged in In the Matter of Risk Reward Capital Management Corp., RRC Management LLC, RRC BioFund LP, and James Silverman, Docket No. [read post]
7 Mar 2016, 9:42 am
The customer complaints against Blum allege a number of securities law violations including that the broker made unsuitable investments, and excessive trading among other claims. [read post]
26 Jun 2019, 11:05 am
Moskowitz was a managing director at Patomak Global Partners LLC prior to returning to the SEC as Chief of Staff.Mr. [read post]
