Search for: "E* Trade Securities LLC"
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11 Jul 2016, 5:48 am
’s consumer protection and unfair trade practices laws. [read post]
6 Jul 2016, 9:49 am
None of the customers acquiesced or consented to the heavy level of trading in the accounts. [read post]
5 Jul 2016, 5:37 am
June 2, 2016) (putative class action on behalf of shareholders of TransEnterix, Inc., a publicly traded biotech company, asserting securities violations for providing allegedly false and/or misleading information about the company’s business in its press releases, shareholder conference calls, and securities filings). [read post]
30 Jun 2016, 1:53 pm
Investment Services, LLC from an office in Penang, Malaysia, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Jun 2016, 7:35 am
The scheme evolved to include BOG’s successor, BECC, a reporting company with shares traded on OTC Link and two affiliated entities, Crude Energy LLC and later Patriot Energy Inc. [read post]
17 Jun 2016, 4:43 pm
The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange. [read post]
16 Jun 2016, 2:48 pm
The same goes for data security incidents. [read post]
13 Jun 2016, 6:46 am
On June 1, 2016, the Securities and Exchange Commission (“SEC”) announced that a private equity fund advisory firm and its owner agreed to pay more than $3.1 million to settle charges that they engaged in brokerage activity, charged fees without registering as a broker-dealer and committed other securities law violations. [read post]
13 Jun 2016, 6:41 am
Finally, since August 2011, Foote has been registered with Client One Securities LLC out of the firm’s Manhattan, Kansas office location. [read post]
10 Jun 2016, 7:16 am
Only Tier 2 companies are required to file a Form 1-K, one of trade-offs for not having to register with the states. [read post]
9 Jun 2016, 3:28 pm
Until now, the primary federal agency regulating data security has been the Federal Trade Commission. [read post]
8 Jun 2016, 8:27 am
Parexel Int’l LLC for determining whether a Sarbanes-Oxley whistleblower’s belief is objectively reasonable (Beacom v. [read post]
3 Jun 2016, 7:32 am
Fraud charges against three brokerage subsidiaries and two former employees of global trading services provider ConvergEx Group LLC and the former CEOs of two of the brokerage subsidiaries – ConvergEx Global Markets and G-Trade Services LLC, in a scheme causing many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders. [read post]
31 May 2016, 1:19 pm
The Securities and Exchange Commission today charged a Nashville, Tenn. [read post]
25 May 2016, 8:19 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]
25 May 2016, 7:53 am
Since March 2016, Jin has been associated with Spartan Capital Securities, LLC out of the firm’s New York, New York office location. [read post]
24 May 2016, 9:31 am
The firm failed to obtain a distribution list for the offering document for any offerings.Alton Securities Group Inc. [read post]
23 May 2016, 7:56 am
By John Filar AtwoodIn a letter to the SEC, Nasdaq suggested that the Commission’s proposed interpretation that would allow Investors’ Exchange LLC (IEX) to operate with a delay on quotation response times would likely be subject to judicial scrutiny. [read post]
20 May 2016, 6:53 am
Dean was hired by Clark Construction Group, LLC, to work as a subcontractor on a project to renovate the Miami Beach Convention Center. [read post]
18 May 2016, 1:00 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]
