Search for: "E* Trade Securities LLC"
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25 Feb 2016, 5:32 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]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
22 Feb 2016, 4:36 pm
Courts have held that the scope of liability under section 10(b)(5) is broad, and it has been used against a wide range of behaviors from misleading statements in company filings and documents to insider trading and market manipulation cases. [read post]
18 Feb 2016, 12:58 pm
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]
18 Feb 2016, 5:53 am
Our firm represents securities investors in claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]
16 Feb 2016, 4:50 pm
Background The Carlyle Group is the trade name of a global private equity firm. [read post]
12 Feb 2016, 10:15 am
Many of the customer complaints against Kuchel allege unauthorized trading among other claims. [read post]
9 Feb 2016, 9:09 am
From June 2006 until January 2011, McPherson was associated with Sammons Securities Company, LLC. [read post]
9 Feb 2016, 5:00 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]
5 Feb 2016, 6:22 am
Katz, Wachtell, Lipton, Rosen & Katz, on Monday, February 1, 2016 Tags: Board composition, Board dynamics, Board independence, Board turnover, Boards of Directors, Compliance & ethics, Conflicts of interest, Corporate culture, D&O insurance, Director compensation, Director liability, Diversity, External auditors, Fiduciary duties, Indemnification, Inside information, Insider trading, Management, Risk, Risk management,Securities Regulation, Shareholder… [read post]
5 Feb 2016, 6:15 am
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset… [read post]
4 Feb 2016, 12:46 pm
Ryckman’s liabilities total approximately $333 million which includes principal and accrued interest pursuant to the Second Amended and Restated Credit Facility with ING Capital, LLC (“ING”) as Administrative Agent, secured by a lien on substantially all of the Debtors assets. [read post]
3 Feb 2016, 10:42 am
Because there are fewer buyers it is difficult to determine what the value of the security is. [read post]
3 Feb 2016, 7:27 am
The findings also stated that the firm reported municipal securities transactions to the MSRB in an untimely manner, failed to conduct supervisory reviews of MSRB Report Cards, and failed to designate a registered principal with responsibility to conduct supervisory reviews of the firm’s reporting of municipal securities transactions.Wells Fargo Securities, LLC. [read post]
2 Feb 2016, 11:51 am
From March 2010 until October 2010, Kao was associated with Rockwell Securities LLC. [read post]
2 Feb 2016, 4:42 am
Your Social Security Number may also be on the form – or just the last few digits. [read post]
1 Feb 2016, 8:44 am
Both computers and cars can be hacked, but only one can careen off a cliff or headlong into traffic. 9) FTC as privacy and security enforcer. [read post]
31 Jan 2016, 1:43 pm
The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to settle separate cases finding that they violated federal securities laws while operating alternative trading systems known as dark pools and Credit Suisse’s Light Pool.The New York Attorney General’s office is announcing parallel actions against the two firms.Barclays agreed to settle the charges by… [read post]
30 Jan 2016, 12:29 pm
The customer complaints against Zimmerman allege a number of securities law violations including that the broker made unsuitable investments, misrepresentations, failure to supervise, and churning (excessive trading) among other claims. [read post]
29 Jan 2016, 6:07 am
Savarese, Wachtell, Lipton, Rosen & Katz, on Friday, January 22, 2016 Tags: Compliance & ethics, Information asymmetries, Information environment, Inside information, Insider trading,Liability standards, Rule 10b-5, Securities enforcement, Securities fraud, Supreme Court, U.S. federal courts PCAOB Adopts Disclosure Rule Posted by Avrohom J. [read post]
