Search for: "E* Trade Securities LLC"
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26 Jun 2023, 10:30 pm
IRS provides interim guidance on expansion of its EPCRS program as provided under the SECURE 2.0 Act (Pub. [read post]
13 Mar 2013, 11:50 am
The United States District Court for the Southern District of New York dismissed the complaint, relying upon the Supreme Court’s decision in Credit Suisse Securities (USA) LLC v. [read post]
16 Oct 2020, 4:45 am
Previously registered broker Yousuf Saljooki (also known as Joe Saljooki) who formerly associated with Worden Capital Management LLC and SW Financial as a general securities representative has been barred after he allegedly failed to provide information and documents requested and did not appear for testimony in relation to his participation in undisclosed business activities according to FINRA’s Default Decision under review by investors rights attorney Alan Rosca. [read post]
16 Oct 2020, 4:45 am
Previously registered broker Yousuf Saljooki (also known as Joe Saljooki) who formerly associated with Worden Capital Management LLC and SW Financial as a general securities representative has been barred after he allegedly failed to provide information and documents requested and did not appear for testimony in relation to his participation in undisclosed business activities according to FINRA’s Default Decision under review by investors rights attorney Alan Rosca. [read post]
18 Dec 2008, 7:43 pm
Madoff Investment Securities LLC to be liquidated. [read post]
10 Oct 2014, 3:36 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]
27 Jan 2012, 6:39 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 Boca Raton, Florida. [read post]
12 Apr 2022, 7:30 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]
5 Aug 2021, 12:33 pm
” Robinhood has previously come under scrutiny for Tenev’s lack of FINRA registration, and took the public position that Tenev is the CEO of Robinhood Markets Inc., which is simply the holding company for the brokerage entity Robinhood Financial LLC. [read post]
31 Mar 2012, 8:17 pm
The findings stated that Dooley recommended purchase speculative exchanged-traded funds (ETFs) designed from intra-day trading when he knew customers' investment objections were growth and income as opposed to speculative day trading. [read post]
13 Jan 2011, 11:45 pm
(Disclosure: Mark Cuban, majority owner of Sharesleuth.com LLC, has no position in the shares of any of the companies mentioned in this report. [read post]
25 Feb 2012, 3:13 pm
There are public REITs, which include ones traded on a national securities exchange and those that are not traded but are publicly registered. [read post]
24 Sep 2014, 5:52 am
Meyer participated in private securities transactions related to commercial loans through Strategic Lending Solutions, LLC as well. [read post]
31 Oct 2016, 12:55 pm
Many microcap stocks trade in the “over-the-counter” (OTC) market. [read post]
30 Jul 2019, 12:05 pm
Industrial Property Trust is a publicly registered non-traded REIT, sponsored by Black Creek Group LLC. [read post]
31 Oct 2016, 10:55 pm
Many microcap stocks trade in the “over-the-counter” (OTC) market. [read post]
20 Mar 2008, 10:00 am
Order Regarding Withdrawals, Unsecured Loans or Advances from Refco Securities, LLC and Refco Clearing, LLC, Exchange Act Release No. 52606 (Oct. 13, 2006).Refco filed for Chapter 11 bankruptcy protection on October 17th and the NYSE formally suspended trading on October 18th after concluding its evaluation. [read post]
9 Aug 2018, 9:30 pm
Securities and Exchange Commission (SEC) adopted amendments to its regulations of alternative trading systems (ATS)—trading platforms not required to register as “exchanges”—that trade National Market System (NMS) stocks. [read post]
17 Sep 2008, 4:09 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
13 Mar 2022, 11:24 am
Securities and Exchange Commission Chair Gary Gensler Tweeted about the future of ESG regulation. [read post]
