Search for: "E* Trade Securities LLC"
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28 Jan 2016, 11:46 am
They will reimburse investors $2.877 million in losses.According to the SEC’s order instituting a settled administrative proceeding, QED Benchmark Management LLC and its founder/fund manager Peter Kuperman avoided disclosing heavy trading losses to investors by using a misleading mixture of hypothetical and actual returns when providing the fund’s performance history. [read post]
28 Jan 2016, 1:24 am
Federal Trade Commission (FTC) & Federal Communications Commission’s (FCC) Enforcement Re: Data Security. [read post]
27 Jan 2016, 5:52 pm
Steps for Law Firm Stability – Andrew Jillson, Director and Co-Founder at Hayse, LLC on their blog, Managing Law Firm Transition For more of the best, check out LXBN, a complete review of the top insight and commentary across the LexBlog Network. [read post]
27 Jan 2016, 1:32 pm
David Cosgrove and Cosgrove Law Group, LLC have handled many U-5 defamation cases over the past several years. [read post]
27 Jan 2016, 6:25 am
CAT3, LLC v. [read post]
26 Jan 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]
25 Jan 2016, 2:17 am
On January 31, 2015, the Securities and Exchange Commission ("SEC") announced that it had entered into settlements with Barclays Capital Inc. and Credit Suisse Securities (USA) LLC concerning those firms' alleged operations of alternative trading systems, so-called "Dark Pools. [read post]
24 Jan 2016, 8:33 am
MLPs are publicly traded partnerships. [read post]
22 Jan 2016, 10:44 am
If they are commonly traded securities you might put them into your brokerage account for simplicity! [read post]
22 Jan 2016, 6:56 am
From February 2012 until July 2014, Venturino was a broker for Craig Scott Capital, LLC. [read post]
22 Jan 2016, 6:56 am
From July 2013 until July 2014, Raheb was associated with Spartan Capital Securities, LLC. [read post]
22 Jan 2016, 6:55 am
From August 2011, until October 2012, Luftschein was associated with Rockwell Global Capital LLC. [read post]
20 Jan 2016, 5:21 am
Morgan Securities LLC Administrative Proceeding File No.: 3-17008 Date Filed: December 18, 2015 Date of Qualifying Judgment/Order: December 18, 2015 12/23/2015 3/22/2016 2015-146 SEC v. [read post]
19 Jan 2016, 4:26 pm
Shkreli was arrested on alleged securities fraud related to Retrophin Inc., a biotech firm he founded in 2011. [read post]
19 Jan 2016, 9:53 am
The SEC appreciates the assistance of the Commodity Futures Trading Commission.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
19 Jan 2016, 6:00 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]
18 Jan 2016, 2:05 pm
In theory, MLP investments combine the tax benefits of a limited partnership with the liquidity of a publicly traded security, such as stock in a corporation. [read post]
18 Jan 2016, 7:09 am
From October 1999 until March 2009, Slater was associated with Wachovia Securities, LLC. [read post]
17 Jan 2016, 7:47 am
(VGTel), QLotus Holdings Inc., Haddad-Wylie Industries LLC (HWIC) and Cassidy Ventures, Inc. [read post]
15 Jan 2016, 1:17 pm
They were designed to combine the tax benefits of limited partnerships with the liquidity of publicly traded securities. [read post]
