Search for: "E* Trade Securities LLC"
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3 Dec 2015, 6:26 am
Franchising, like the sale of securities, is a highly regulated type of financial arrangement. [read post]
2 Dec 2015, 6:36 am
Darmodihardjo entered the securities industry in 1995. [read post]
23 Nov 2015, 3:15 pm
NYSER’s reclaimed authority encompasses the enforcement of rules that specifically govern the markets operated by ICE: the New York Stock Exchange LLC, NYSE Arca, Inc., and NYSE MKT LLC (the “NYSE Exchanges”). [read post]
23 Nov 2015, 6:14 am
Jacob (Jacob) and his firm, Innovative Business Solutions LLC (IBS), for allegedly deceiving clients over a period of at least five years. [read post]
22 Nov 2015, 1:35 pm
Presently, Bolton is associated with Sandlapper Securities, LLC out of the firm’s Greenville, South Carolina branch office location. [read post]
20 Nov 2015, 8:00 am
Securities sold under Regulation A+ are not restricted securities and can be freely sold by non-affiliates. [read post]
20 Nov 2015, 8:00 am
Securities sold under Regulation A+ are not restricted securities and can be freely sold by non-affiliates. [read post]
18 Nov 2015, 11:44 am
Supreme Court of Florida Reverses Fourth District in Negligent Security Case [read post]
15 Nov 2015, 6:40 am
Gill’s first employment separation in 2003 from Grayson Financial LLC alleged that Gill abused margin, failed to execute trades, engaged in unauthorized trades, and misappropriated firm information. [read post]
13 Nov 2015, 5:05 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]
13 Nov 2015, 7:27 am
The customer complaints against Fowler allege securities law violations that claim churning and excessive trading, unsuitable investments, breach of fiduciary duty, unauthorized trading, fraud, overconcentration, purchasing securities on margin, and misrepresentations among other claims. [read post]
10 Nov 2015, 8:40 am
ALJ Grimes rejected the respondents’ assertion that the definition of the term “distribution” regarding securities should be that under Regulation M, which distinguishes a distribution from “mere trading” by the magnitude of the offering, noting that the respondents cited no precedent for that limitation. [read post]
9 Nov 2015, 12:04 pm
Commodities and securities traders should be aware of the anti-spoofing provisions in the Dodd-Frank Act, and know that administrative fines and bans represent only one enforcement avenue open to the government. [read post]
9 Nov 2015, 2:58 am
Ex., LLC, No. 07 C 623, Slip Op. [read post]
8 Nov 2015, 11:34 am
From June 1998 until August 2015, Ahrens was associated with LPL Financial LLC (LPL Financial). [read post]
6 Nov 2015, 9:51 am
The law offices of Gana LLP are tracking a number of cases that have been filed against brokerage firm Interactive Brokers LLC (Interactive Brokers). [read post]
5 Nov 2015, 11:46 am
The agency also announced settlements in pending actions against National Check Registry, LLC, and K.I.P., LLC. [read post]
31 Oct 2015, 5:31 am
Customers have filed complaints against Delaney alleging securities law violations including unauthorized trades, breach of fiduciary duty, and unsuitable investments among other claims. [read post]
30 Oct 2015, 7:42 am
Since 2008 Segur has been registered with Pointe Capital, Inc., Spartan Capital Securities, LLC, John Thomas Financial, A&F Financial Securities, Inc., J.P. [read post]
29 Oct 2015, 7:07 am
Recently FINRA ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase Puerto Rican Municipal Bonds (PRMBs).The firm was also ordered to pay restitution of $121,000 and make offers of rescission to buy back the securities sold to certain customers impacted by the firm's failure to supervise employee trading. [read post]
