Search for: "E* Trade Securities LLC"
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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]
1 Apr 2016, 7:27 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]
31 Mar 2016, 12:11 pm
Finally, from June 2013 until February 2016 Schultz was registered with Adirondack Trading Group LLC. [read post]
31 Mar 2016, 12:09 pm
The investment attorneys at Gana LLP are investigating the potential unsuitable sales of securities sponsored by Waveland Capital Group LLC (Waveland), a purported merchant bank with a core investment focus in the oil and gas exploration and production industry. [read post]
31 Mar 2016, 9:51 am
Specifically, the firm and Voldness failed to mark certain of the customer order tickets for the purchase of the shares as solicited.Fulcrum Securities, LLC (Saint Louis, Missouri)Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to adequately enforce its WSPs to adequately detect, investigate and, if appropriate, report potentially suspicious activities or manipulative trading by… [read post]
30 Mar 2016, 12:00 am
IT security is a growing concern, and one reinforced by the presence of vendors. [read post]
25 Mar 2016, 9:16 am
The court writes: In this appeal, International Securities Exchange, LLC (“ISE”) challenges the determination of the Patent Trial and Appeal Board (the “Board”) in inter partes review proceedings involving U.S. [read post]
25 Mar 2016, 6:00 am
Katzman, Fried, Frank, Harris, Shriver & Jacobson, LLP, onThursday, March 24, 2016 Tags: Compliance and disclosure interpretation, Director liability, Equity-based compensation, Exchange Act, Inside information, Insider trading, Investor protection, Liability standards, Management, Rule 10b-5-1, SEC, SEC enforcement,Section 10(b), Securities enforcement, Securities Regulation, Voluntary Disclosure Activist Investors, Cash, and… [read post]
23 Mar 2016, 3:01 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]
23 Mar 2016, 1:51 pm
MGM Growth Properties LLC shares will be traded on the New York Stock Exchange. [read post]
23 Mar 2016, 11:48 am
Pagnotta recently founded Storyweavers™, a project providing a series of curated and open mike story events throughout NY. [read post]
23 Mar 2016, 9:16 am
Ridgewood Energy other offerings include Ridgewood Energy Bluewater Institutional Fund, LLC, Ridgewood Energy Bluewater Oil Fund II LLC, Ridgewood Energy Bluewater Oil Fund IV, LLC, Ridgewood Energy Oil & Gas Fund II, L.P., Ridgewood Private Equity Partners Energy Access Fund LLC. [read post]
