Search for: "E* Trade Securities LLC"
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16 Aug 2016, 5:57 am
Copyright © 2007-2016 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
15 Aug 2016, 3:08 pm
The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Robert E. [read post]
15 Aug 2016, 7:35 am
Trump Ruffin Commercial, LLC v. [read post]
10 Aug 2016, 12:19 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]
10 Aug 2016, 10:02 am
That percentage varied based on whether the acquisition was for services, supplies, general construction, or specialty trade construction. [read post]
5 Aug 2016, 12:45 pm
Turner & Company, LLC from July 2003 to September 2011. [read post]
4 Aug 2016, 7:33 am
Egan was associated as a General Securities Representative with Independent Financial Group, LLC from April 2010 until the firm discharge him on July 29, 2015. [read post]
1 Aug 2016, 1:21 pm
Prior to working at Legend Securities, Inc., he was employed by Liberty Partners Financial Services, LLC from July to December 2012, Brookstone Securities, Inc. from March 2011 to June 2012, and Alexander Capital, LP from November 2009 to March 2011, per Mr. [read post]
28 Jul 2016, 10:48 am
In Russell Road Food & Beverage, LLC v. [read post]
27 Jul 2016, 2:56 pm
The Securities and Exchange Commission (“SEC”) recently issued an interim rule that amends the Form 10-K; a form certain publicly traded companies annually file to give a complete review of the company’s business and its overall financial condition. [read post]
27 Jul 2016, 10:31 am
On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced an enforcement action against RiverFront Investment Group, LLC, a registered investment adviser serving as sub-adviser to clients in wrap fee programs established by various sponsors (“RiverFront”). [read post]
25 Jul 2016, 1:05 pm
McAfee Secures Settlement in Misleading Auto-Renewal Price Challenge On July 14, 2016, McAfee, Inc., settled class claims that it had automatically renewed software security subscriptions at a higher, undiscounted price after an initial or trial period without notifying customers of the increased rate. [read post]
22 Jul 2016, 11:01 am
Cayman Islands Publishes LLC Law. [read post]
21 Jul 2016, 1:53 pm
In addition to being easily “owned” by the LLC, Bitcoin in cold storage is very secure. [read post]
21 Jul 2016, 12:44 pm
Lewis Gale Med. (7/13/16), the plaintiff sued his former employer Lewis Gale Medical Center LLC for violating the Americans with Disabilities Act. [read post]
15 Jul 2016, 7:00 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
15 Jul 2016, 7:00 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
14 Jul 2016, 8:09 am
The SEC OIPA recent Securities and Exchange Commission ("SEC") enforcement action alleges that investment advisory firm RiverFront Investment Group LLC, which was a registered investment adviser ("RIA") with the SEC since 2008, marketed a wrap fee program to i... [read post]
13 Jul 2016, 8:04 am
USA LLC v. [read post]
12 Jul 2016, 8:48 am
Other SEC cases involving failures to provide complete blue sheet data: Credit Suisse Securities (USA) LLC paid a $4.25 million penalty in September 2015, admitting that technological and human errors resulted in the omission of more than 553,400 reportable trades from blue sheet responses to the SEC for more than two years.OZ Management LP paid a $4.25 million penalty in July 2015, admitting that it provided inaccurate trade data to four of… [read post]
