Search for: "E* Trade Securities LLC"
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1 Jul 2015, 6:55 am
They each worked for Sleep’s LLC as mattress delivery workers. [read post]
1 Jul 2015, 6:00 am
: The Stasi Surveillance State Many years ago while I was working at the Department of Homeland Security, my principal job was to travel around the globe to coordinate antiterrorism activities with other nations. [read post]
30 Jun 2015, 8:44 am
We have decades of experience in securities litigation matters, including SEC and FINRA investigations, insider trading cases, securities arbitrations and class actions, nationwide. [read post]
29 Jun 2015, 6:21 am
In a recent regulatory action, FINRA filed a cease-and-desist order against Success Trade Securities and its CEO Fuad Ahmed. [read post]
25 Jun 2015, 6:19 am
Since 2008 Bell has been registered with Brewer Financial Services, LLC, Herbert J. [read post]
22 Jun 2015, 6:17 am
From March 2006 until February 2014, Hackney was associated with LPL Financial LLC (LPL). [read post]
19 Jun 2015, 10:01 pm
This invasive insect species poses a considerable threat to U.S. agriculture and natural resources — making it imperative that khapra beetles are detected and their introduction throughout global trade pathways prevented. [read post]
18 Jun 2015, 12:47 pm
In 2007, after attending an “Investools” workshop on options trading, Sharma set up Gold Coast Holding, LLC (“Gold Coast”) as a vehicle for his options trading. [read post]
17 Jun 2015, 6:41 am
Thereafter, in April 2004, Gates became registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as… [read post]
10 Jun 2015, 11:51 am
According to the Arkansas Securities Commissioner, Niaz Elmazi (a New York resident who was registered with the Arkansas Securities Department as a broker-dealer agent with HFP Capital Markets LLC, CRD No. 44351, from June 9, 2009 to May 16, 2013) was recently sued by the Arkansas Securities Commissioner. [read post]
6 Jun 2015, 10:24 am
Since 2008 Persaud has been registered with The Concord Equity Group, LLC, Andrew Garrett Inc., Garden State Securities, Inc., and since May 2015, Buckman, Buckman & Reid, Inc. [read post]
4 Jun 2015, 11:30 am
Stone founded the department and was responsible for managing the origination, trading, structuring and sales of all mortgage and asset-backed securities. [read post]
4 Jun 2015, 11:30 am
Stone founded the department and was responsible for managing the origination, trading, structuring and sales of all mortgage and asset-backed securities. [read post]
3 Jun 2015, 1:08 pm
Estrella Trial Advocacy Competition // Estrella, LLC in San Juan, Puerto Rico (March 7-8, 2015) Coaches: Prof. [read post]
1 Jun 2015, 9:35 am
Bemas Enterprises LLC, 2015). [read post]
31 May 2015, 4:29 pm
Parexel Int’l LLC, in which it concluded that the “definitively and specifically” requirement was “inapposite” in the SOX context and that it also presented a potential conflict with the express statutory authority of Section 1514A. [read post]
31 May 2015, 7:24 am
Thereafter, from July 2003, until April 2009, 2007 through June 2009, McGrath was associated with brokerage firm Wachoiva Securities, LLC. [read post]
27 May 2015, 11:45 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 Vero Beach, Florida. [read post]
26 May 2015, 11:32 am
Lastly, LPL failed to comply with Rule 204 of Regulation SHO, which requires a firm that has a fail-to-deliver position at a registered clearing agency in any equity security for a long or short sale transaction in that equity security to close out its fail-to-deliver position by borrowing or purchasing securities of like kind or quality. [read post]
