Search for: "E* Trade Securities LLC"
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7 Oct 2015, 7:26 am
From 2002, until August 2008, Gillis was associated with Wachovia Securities, LLC. [read post]
7 Oct 2015, 7:26 am
From December 2007 until February 2010, Jones was a registered representative of First Legacy Securities, LLC. [read post]
6 Oct 2015, 7:08 am
Godlewski claimed that he created innovative trading algorithms and and managed funds with $100 million in assets under management. [read post]
6 Oct 2015, 3:05 am
[i] Newman and Chiasson were accused of trading Dell and NVIDIA securities based upon material, nonpublic information they received from their respective analysts. [read post]
5 Oct 2015, 11:20 am
Herman Colberg joined Pietrantoni Méndez & Alvarez LLC in 1999 and has been a Partner since 2003. [read post]
5 Oct 2015, 6:55 am
In December 2011, Henrich became associated with Obsidian Financial Group, LLC until December 2012. [read post]
2 Oct 2015, 7:44 am
Lyon have alleged unsuitable investment recommendations and unauthorized trading. [read post]
2 Oct 2015, 6:10 am
Recently, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed a proposed rule change with the Securities and Exchange Commission to amend the NYSE Listed Company Manual (the “Manual”), effective September 28, 2015. [1] The proposed amendments (i) expand the pre-market hours during which companies with listed securities are required to notify the Exchange prior to… [read post]
1 Oct 2015, 1:42 pm
., AN LUXURY IMPORTS GP, LLC, AND UNITED STATES WARRANTY CORP., Appellants V. [read post]
1 Oct 2015, 1:42 pm
., AN LUXURY IMPORTS GP, LLC, AND UNITED STATES WARRANTY CORP., Appellants V. [read post]
1 Oct 2015, 12:52 pm
Alaskasland.com, LLC v. [read post]
29 Sep 2015, 3:06 pm
We created a hypo that required students to negotiate and complete the documentation for forming an LLC that purchased a medivac helicopter with seller financing. [read post]
28 Sep 2015, 2:10 pm
In 2014, for instance, a DOL investigation resulted in Shell Oil Co. and Motiva Enterprises LLC, which markets Shell gasoline and other products, agreeing to pay $4,470,764 in overtime back wages to 2,677 current and former chemical and refinery employees to settle DOL charges that the companies violated FLSA overtime provisions by not paying workers for the time spent at mandatory pre-shift meetings and failing to record the time spent at these meetings. [read post]
24 Sep 2015, 8:43 am
LPL Financial LLC has agreed to pay two more settlements, and these are big ones. [read post]
23 Sep 2015, 5:57 am
Since 2009 Capolongo has been registered with John Thomas Financial, New Castle Financial Services LLC, EKN Financial Services Inc., National Securities Corporation, and Laidlaw & Company (UK) LTD. [read post]
22 Sep 2015, 8:01 am
Madoff Investments Securities LLC’s day-to-day affairs, and that the complaint failed to plead a primary violation of the securities laws (Dusek v. [read post]
21 Sep 2015, 2:41 pm
” Recent changes in securities regulations now permit the general solicitation of accredited investors under certain circumstances. [read post]
21 Sep 2015, 6:51 am
Since 2008 Wares has been registered with New Castle Financial Services LLC, First Midwest Securities, Inc., and EKN Financial Services Inc. [read post]
17 Sep 2015, 7:27 am
Currently, Batchen is a registered representative of Uhlmann Price Securities, LLC. [read post]
14 Sep 2015, 4:32 pm
Daniel Tyukody Almost every securities class action lawsuit that is not dismissed eventually settles; very few of the cases actually go to trial. [read post]
