Search for: "E* Trade Securities LLC"
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1 Jan 2020, 10:35 am
§ 164.308(a)(1)(ii)(A); Failed to have a HIPAA security training program, and failed to provide security training to its employees. [read post]
5 Oct 2022, 1:05 pm
Quirch Foods LLC v. [read post]
26 Jan 2024, 8:58 am
Securities and Exchange Commission (SEC) or Commodities Futures Trading Commission (CFTC). [read post]
28 Mar 2014, 1:47 pm
This in turn makes Bitcoin resemble a commercial entity that produces shares of an enterprise that are traded as securities, and more importantly being traded free and clear of any security interests. [read post]
5 Sep 2021, 12:57 pm
That injunction dissolved on the issuance of the judgment by the Court of International Trade. [read post]
20 Oct 2023, 8:33 am
Securities and Exchange Commission to challenge a ruling from the D.C. [read post]
30 Dec 2013, 4:56 am
The Securities and Exchange Commission today announced sanctions against a New York-based brokerage firm for ignoring red flags and paying more than $400,000 in soft dollars for expenses that an investment adviser had not properly disclosed to clients.Soft dollars are credits or rebates from a brokerage firm on commissions that clients pay for trades executed in an investment adviser's client accounts. [read post]
7 Feb 2014, 11:33 am
Fortunately, Cisco continued to fight until it secured a settlement much lower than the billions Innovatio claimed to be entitled to. [read post]
3 Aug 2023, 9:00 pm
At the same time, the Office of the Attorney General in Texas announced that it secured $2,500,000 in restitution and $7,500,000 in penalties from BINT. [read post]
23 Aug 2024, 4:19 am
In re LendingOne, LLC, Serial No. 97627670 (August 20, 2024) [not precedential] (Opinion by Judge Angela Lykos). [read post]
21 Apr 2022, 1:40 pm
Hit with $2.8M for Excessive and Unsuitable Trades Aegis Capital Corp. [read post]
27 Mar 2020, 10:56 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 Franklin, Tennessee. [read post]
16 Sep 2008, 1:12 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]
31 Oct 2018, 6:35 am
Thomas Kelly Jr. also worked for National Securities Corporation in New York, NY from May 7, 2008 until May 7, 2018, and also was registered with First Republic Group, LLC in New York, NY, FINRA notes. [read post]
18 May 2023, 6:09 am
UBS Securities, LLC, involves alleged retaliation against a former employee. [read post]
14 Jul 2021, 2:23 pm
SRC-NI Holdings LLC is the SRAC’s sponsor, having provided the SPAC’s initial capital. [read post]
1 Apr 2015, 1:22 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. [read post]
23 Jul 2014, 5:55 am
LPL Financial also paid a $500,000 fine to the Massachusetts Securities Division and was ordered to pay $4.8 million in restitution for supervisory and suitability related violations involving the sale of non-traded REITs that were inappropriate for clients. [read post]
20 Sep 2011, 4:02 pm
It would also restrict the financial firms’ use of their own money to trade. [read post]
4 Feb 2011, 12:11 pm
Both companies were charged with securities fraud by the Securities and Exchange Commission (SEC) in 2009 for misrepresentation and misappropriating hundreds of millions of dollars of investors’ money. [read post]
