Search for: "E* Trade Securities LLC"
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28 Aug 2014, 7:46 am
Finally, FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) requires a member in the conduct of its business to observe high standards of commercial honor and just and equitable principles of trade. [read post]
27 Aug 2014, 5:48 pm
Department of Homeland Security’s U.S. [read post]
27 Aug 2014, 5:21 pm
, PRACTICAL TRADE AND CUSTOMS STRATEGIES (May, 2014); Food Safety Modernization Act Implications for U.S. [read post]
27 Aug 2014, 5:30 am
Amazon buys Twitch for almost $1 billion http://t.co/0XFG86eihb -> Internet of Things and telecom law issues http://t.co/U80qQW9UU5 -> Piracy: How it affects you http://t.co/aSU2jtZKHf -> British man sentenced to nearly three years in prison for movie piracy http://t.co/o3PbMMyh0Z -> China Grants First Patents to Graphical User Interface Designs http://t.co/oxremUGSV5 -> New Snowden leak: How NSA shared 850-billion-plus metadata records http://t.co/Pcqb3NSJUC -> blogged: Computer… [read post]
26 Aug 2014, 12:30 am
From Katfriend and long-time respected IP commentator Ken Moon (AJPark) comes news of a 13 August ruling of the New Zealand Court of Appeal (Harrison and Miller JJ) in a software copyright and trade secrets dispute, Karum Group LLC v Fisher & Paykel Finance [2014] NZCA 389, which was heard this June. [read post]
21 Aug 2014, 3:59 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]
19 Aug 2014, 3:20 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 Boca Raton, Florida. [read post]
19 Aug 2014, 2:42 pm
---The attorneys at Sallah Astarita & Cox, LLC include former SEC Enforcement attorneys and prosecutors and decades of experience representing all participants in the securities markets. [read post]
18 Aug 2014, 12:51 pm
If you believe you have suffered financial losses as a result of the actions of LPL Financial, LLC; Mr. [read post]
14 Aug 2014, 4:09 pm
The Securities Exchange Act of 1934 requires that persons engaged in the business of transacting securities for the account of others register with the SEC as securities broker-dealers. [read post]
14 Aug 2014, 5:00 am
Credit Suisse Securities, LLC, 752 F.3d 82 (1st Cir. 2014) (fraud on the market); Mass. [read post]
13 Aug 2014, 6:42 am
While regular ETFs can be held for long term trading, Leveraged ETFs are generally designed to be used only for short term trading. [read post]
11 Aug 2014, 10:00 am
The former chief executive officer of a broker-dealer subsidiary of ConvergEx Group LLC has been charged with deceiving brokerage customers with hidden fees to buy and sell securities. [read post]
11 Aug 2014, 5:40 am
The law offices of Gana LLP recently filed a securities arbitration on behalf of an investor against JHS Capital Advisors, LLC f/k/a Pointe Capital, Inc. [read post]
6 Aug 2014, 2:57 pm
The United States District Court for the Northern District of Illinois, in the case brought by the SEC against A Chicago Convention Center, LLC, Anshoo Sehti and Intercontinental Regional Center Trust of Chicago, LLC (the “Chicago Convention Center Case“), ruled on August 6, 2013 that the SEC had adequately alleged a domestic securities transaction, as required to state a securities fraud claim. [read post]
6 Aug 2014, 8:07 am
Thereafter, Levy became associated with IFS Securities and currently with Titus Rockefeller, LLC. [read post]
5 Aug 2014, 11:44 am
In 2012, she was named to the board of Sangamo BioSciences, Inc., a publicly traded firm based in Richmond, Ca. [read post]
4 Aug 2014, 2:34 pm
Lawler of Snellville, Georgia, a self-proclaimed minister, and his company, Freedom Foundation USA LLC for fraudulently offering and selling fictitious securities. [read post]
4 Aug 2014, 7:53 am
Douglas Leone currently works with Salomon Whitney, LLC. [read post]
4 Aug 2014, 4:13 am
The complaint also quotes an article from Seeking Alpha in which the author alleged that the company had used a stock promotion firm called Small-Cap Street LLC, noting that the SEC had recently halted trading in several of the stocks that the firm had promoted. [read post]
