Search for: "E*Trade Securities LLC"
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13 Sep 2019, 8:00 am
Department of Homeland Security v. [read post]
1 Mar 2012, 12:30 pm
Mattel dismissal order.pdf (122.12 kb) Kolon Industries v E I du Pont re Feb. 2012 Sanctions Opinion.pdf (318.10 kb) [read post]
26 Feb 2010, 3:00 am
(Docket Report) District Court E D Texas: Sanctions ruling from Chief Judge Folsom - $100,000 for failure to timely disclose a crucial document: ESN, LLC v. [read post]
26 Feb 2010, 3:00 am
(Docket Report) District Court E D Texas: Sanctions ruling from Chief Judge Folsom - $100,000 for failure to timely disclose a crucial document: ESN, LLC v. [read post]
20 Jan 2023, 6:41 am
Nijjar, Jenness E. [read post]
20 Jan 2023, 6:41 am
Nijjar, Jenness E. [read post]
1 Jan 2020, 10:35 am
§ 164.308(a)(1)(ii)(A); Failed to have a HIPAA security training program, and failed to provide security training to its employees. [read post]
12 Jun 2012, 2:00 am
After an investigation by the SEC’s Boston office, the SEC alleges that Gabriel and Marco Bitran, through their firms, GMB Capital Management LLC and GMB Capital Partners LLC, raised millions of dollars by falsely telling investors that they had a successful fund track record but failed to inform investors that the track record was not based on actual trades but on back-tested hypothetical simulations. [read post]
20 Dec 2021, 4:44 pm
A review of the OCR data base of unsecured electronic protected health information breaches reveals that OCR has received a wave of required unsecured electronic health information breach notifications impacting 500 or more individuals arising from hacking of electronic systems or e-mail since January 1, 2021, including notices from Apple Blossom Family Practice VA Healthcare Provider (500 individuals/Network Server Hacking/IT Incident); Network Server; Texas ENT Specialists TX… [read post]
7 Oct 2022, 6:30 am
Ellerman, Ira Kay, and Mike Kesner, Pay Governance LLC, on Tuesday, October 4, 2022 Tags: Dodd-Frank Act, SEC, SEC rulemaking, TSR Potential Litigation Risks Associated with the SEC’s Proposed Climate-Disclosure Rule Posted by Nicolas Grabar, Jared Gerber, Charity E. [read post]
8 Feb 2012, 2:00 am
The SEC, which supported the plaintiffs, is reviewing the decision, according to spokesman John Nester in an e-mailed statement. [read post]
15 Apr 2011, 9:05 am
The Report expands upon four case studies conducted during the investigation regarding these causative factors: (1) high risk mortgage lending by Washington Mutual Bank; (2) regulatory failures by the Office of Thrift Supervision; (3) the use of inflated credit ratings by Moody's Investor's Services, Inc. and Standard & Poor's Financial Services LLC; and (4) the role of investment banks Goldman Sachs and Deutsche Bank. [read post]
31 May 2012, 7:30 am
In Ajuba International , LLC v. [read post]
14 Dec 2020, 11:09 am
[1] Sorkin, A., Karaian, J., Merced, M., Hirsch, L., & Livni, E. (2020, November 16). [read post]
10 Sep 2012, 6:26 pm
McDANIEL, as Trustees of the Robert E. [read post]
14 Sep 2018, 6:12 am
Macey (Yale Law School) and Leo E. [read post]
22 Jun 2012, 1:26 pm
This post was written by Paul Bond and Christine E. [read post]
16 Aug 2012, 8:00 pm
Marandett and Margaret E. [read post]
24 Oct 2018, 4:33 pm
Instead, the EDGAR hackers who traded would be charged with “outsider trading,” a much more nascent and far more dangerous securities fraud variant. [read post]
1 Aug 2013, 12:16 pm
Mar. 28, 2013) (using the completely irrational test, the arbitrator did not act in excess of authority; improper arbitrator bias was not shown; mere disagreement with arbitration result is not a basis for vacating an award) E*Trade Securities, LLC v. [read post]
