Search for: "E* Trade Securities LLC"
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27 Nov 2021, 7:18 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6191/securities-industry-commentator/SEC Obtains Final Judgment Against Kirk Sperry and Sperry and Sons Capital Investments, LLC in Offering Fraud (SEC Release)Former CEO Of Real Estate Private Equity Investment Firm Sentenced To 5 Years In Prison For $58 Million Securities Fraud (DOJ Release)Texas Man… [read post]
23 May 2022, 5:45 pm
LLC (AGI US) and three former senior portfolio managers with a massive fraudulent scheme that concealed the immense downside risks of a complex options trading strategy they called “Structured Alpha. [read post]
7 Feb 2020, 1:29 pm
Last week, the Financial Industry Regulatory Authority (FINRA) censured and assessed a fine of $50,000 against a national investment firm, Paulson Investment Company LLC, in connection with its sale and solicitation of private placement offerings to investors, in violation of Rule 506 of Regulation D and Section 5 of the Securities Act of 1933. [read post]
25 Jan 2024, 6:06 pm
Shares trade on a national securities exchange. [read post]
10 Apr 2012, 11:33 am
RadLAX Gateway Hotel, LLC v. [read post]
3 Nov 2011, 11:46 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Securities LLC $12 million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
1 Aug 2022, 4:04 am
Equity And Justice Prevail In Breathtaking FINRA Expungement Award (BrokeAndBroker.com Blog)"Boiler Room" Operator Pleads Guilty to International Securities Fraud Conspiracy / Defendant and Co-Conspirators Manipulated the Price and Trading Volume of a Publicly Traded Stock in the United States (DOJ Release)< a href="#dropil">Two Orange County Men Sentenced to Federal Prison for Conning Investors Out of $1.9 Million Through… [read post]
28 Mar 2017, 5:18 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
3 Aug 2023, 8:25 am
ATI Holdings, LLC, 592 F. [read post]
8 Jun 2009, 11:43 am
The SECC settled charges that Boston-based Evergreen Investment Management Company LLC and an affiliate overstated the value of a mutual fund that invested primarily in mortgage-backed securities, and then only selectively told shareholders about the fund's valuation problems. [read post]
4 Feb 2019, 2:09 pm
Philip Sparacino has seven disclosures in his 11 years in the securities industry with six different firms, according to his FINRA BrokerCheck Report, and he has worked for First Standard Financial Company LLC in Red Bank, New Jersey since July 2, 2014, FINRA notes. [read post]
7 Nov 2022, 2:30 am
Wells Fargo Clearing Services, LLC, Defendant/Appellee (Opinion, 11Cir)... [read post]
1 Jul 2021, 7:25 am
Westport Capital Markets, LLC and Christopher McClure, Defendants (Order Granting/Denying in Part Motion for Entry of Final Judgments)Former CEO And COO Of JHL Biotech Charged With Conspiracy To Steal Trade Secrets And Commit Wire Fraud Exceeding $101 Million (DOJ Release)... [read post]
5 Mar 2021, 9:50 am
E*Trade Securities, LLC, Respondent (FINRA Arbitration Award)HELD OVER FOR SECOND DAY: FINRA Suffers Stunning Rebuke by SEC in Ty... [read post]
30 Dec 2020, 12:40 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. [read post]
13 Oct 2011, 7:39 pm
Raj Rajaratnam, a billionaire investor and co-founder of Galleon Group LLC, has been ordered to pay a $10 million fine and serve 11 years in jail for his key role in an insider trading scam that resulted in $63.8M in illegal profits. [read post]
2 Jan 2024, 11:26 am
What is Option Trading? [read post]
28 Apr 2011, 3:37 pm
The SEC today charged Jonathan Hollander, a former hedge fund professional, with insider trading in Albertson’s, LLC based on material nonpublic information regarding an impending acquisition of ABS that Hollander received from a friend who was employed by the financial... [read post]
10 Jan 2019, 11:28 am
From August 2010 until June 2018 Williams was registered with International Assets Advisory, LLC. [read post]
26 Mar 2012, 2:00 am
The investigation is also examining communications between other high-frequency trading firms and Direct Edge Holdings LLC, a company that runs computer-driven exchanges. [read post]
