Search for: "E* Trade Securities LLC"
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1 Dec 2011, 2:10 pm
Historically, RAFI(R) indices have generated significant outperformance over time by using measures of a company's economic footprint and through its rebalancing process that shifts assets into the least-favored securities and out of the most-favored--and thus most expensive--securities. [read post]
16 Jan 2012, 4:42 pm
Walter Louis Howerton formerly with Wachovia Securities, LLC, in Modesto, California, was fined $12,500 and suspended from association with any FINRA member for six months in connection with a finding that he made unsuitable recommendations related to a customer's account. [read post]
15 Mar 2023, 1:31 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 Seattle, Washington. [read post]
18 Jan 2012, 6:48 am
The White Law Group, LLC is a national securities arbitration and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
15 Jul 2016, 7:00 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]
15 Jul 2016, 7:00 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]
10 Nov 2023, 7:44 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
22 Jul 2022, 3:39 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
12 Jun 2019, 6:00 am
About Infinnium Infinnium LLC is redefining the way organizations interact with data to gain actionable intelligence. [read post]
13 Apr 2017, 10:27 am
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]
7 Jan 2016, 8:58 am
The customer complaints against Riordan allege a number of securities law violations including that the broker made unsuitable investments, excessive trading, and failure to follow instructions among other claims. [read post]
4 Jul 2018, 11:36 am
From July 2013 to October 2016, Paolucci was registered with American Independent Securities Group, LLC. [read post]
3 Jan 2016, 9:50 pm
Director, Cyber Security Risk Company: Good Harbor Security Risk Management, LLC, is a boutique consulting firm that advises senior corporate executives, Boards, government leaders, and investment professionals on cyber security risk management. [read post]
26 Oct 2023, 12:50 pm
For a free consultation with a securities attorney, please call (888) 637-5510.The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
27 Jan 2017, 6:08 am
Dyson, K&L Gates LLP, on Saturday, January 21, 2017 Tags: Algorithmic trading, Broker-dealers, BSA/AML, Disclosure, Due diligence, Financial institutions, FINRA, High-frequency trading, Investor protection, Money laundering, Private enforcement, Reporting regulation, Risk management, Securities enforcement Top 10 Topics for Directors in 2017 Posted by Kerry E. [read post]
8 Jun 2018, 6:47 am
Securities and Exchange Commission, on Thursday, June 7, 2018 Tags: Banks, Capital requirements, Financial institutions, Financial regulation, Liquidity, Proprietary trading, Securities regulation, Volcker Rule [read post]
14 Jun 2019, 2:11 pm
[contact-form-7]Contact UsShow less Sean Robert Sullivan Closed a Customer Dispute with No Action Following Allegations of Unauthorized Trading Sean Robert Sullivan has also settled a Customer Dispute that had accused him of alleged unauthorized trading, FINRA notes. [read post]
11 Oct 2019, 6:03 am
Posted by John Armour and Horst Eidenmueller (University of Oxford), on Tuesday, October 8, 2019 Tags: Algorithmic trading, Board oversight, Boards of Directors, Charter & bylaws, Financial technology A Stakeholder Approach and Executive Compensation Posted by Seymour Burchman and Mark Emanuel, Semler Brossy Consulting Group, LLC, on Tuesday, October 8, 2019 Tags: Boards of… [read post]
27 Jun 2014, 5:00 am
In order to monitor employee trading for trades in restricted-list securities JP Turner required an employee to notify the other broker-dealer of their employment with JP Turner and request that duplicate statements be sent to the firm. [read post]
21 Sep 2022, 5:57 am
Reffett entered the securities industry in 2012. [read post]
