Search for: "E* Trade Securities LLC"
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3 May 2016, 5:08 pm
The named plaintiffs allege that OPM failed to implement and maintain adequate cyber-security measures to protect the class members’ PII and PPI.[7] Regulatory Actions The Federal Trade Commission (“FTC”) has been the most active federal regulator policing corporate cyber-security practices. [read post]
3 May 2016, 4:12 am
This goes to the same trade-off reflected by the U.S. v. [read post]
2 May 2016, 12:48 pm
Department of Homeland Security’s Customs and Border Protection collects duties on imported goods in accordance with numerous trade rules and regulations, including the protection of U.S. industries from unfair competition from low-priced imported goods. [read post]
27 Apr 2016, 11:49 am
The customer complaints against Labarca allege securities law violations that including unsuitable investments, unauthorized trading, and breach of fiduciary duty among other claims. [read post]
27 Apr 2016, 4:54 am
According to the court, Archer Advisors LLC, its principal, and another company insider perpetrated a scheme to misappropriate fund assets and artificially pump up the value of the hedge funds that Archer managed. [read post]
26 Apr 2016, 10:20 am
The customer complaints against Alcide alleges securities law violations that including unsuitable investments, unauthorized trading, and fraud among other claims. [read post]
23 Apr 2016, 10:52 am
Such trading occurs when a broker sells securities without the prior authority from the investor. [read post]
23 Apr 2016, 8:43 am
MLPs are publicly traded partnerships. [read post]
23 Apr 2016, 7:50 am
* Malibu Media, LLC v. [read post]
20 Apr 2016, 3:00 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices located in Chicago, Illinois and Vero Beach, Florida. [read post]
18 Apr 2016, 9:15 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]
12 Apr 2016, 8:27 am
From July 2011 until August 2012, Prinzivalli was associated with Salomon Whitney LLC. [read post]
11 Apr 2016, 11:28 am
The Securities and Exchange Commission today announced that Marshall S. [read post]
8 Apr 2016, 3:08 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]
8 Apr 2016, 3:05 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]
6 Apr 2016, 12:31 pm
Paula's Store Sportwear LLC, 2014 WL 347893 (D.N.J. [read post]
6 Apr 2016, 6:41 am
’ Christy Sports, LLC v. [read post]
4 Apr 2016, 10:30 am
When brokers engage in excessive trading, sometimes referred to as churning, the broker will typical trade in and out of securities, sometimes even the same stock, many times over a short period of time. [read post]
4 Apr 2016, 10:29 am
From December 2012 until April 2015, Shaw was registered with LPL Financial LLC. [read post]
4 Apr 2016, 6:25 am
Last month the Securities and Exchange Commission (“SEC”) commenced an administrative proceeding against an Augusta Georgia investment adviser to a hedge fund called Geier International Strategies Fund, LLC (“GISF”). [read post]
