Search for: "E* Trade Securities LLC"
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13 Jul 2014, 5:30 am
Clinton, 9th Circuit 2014http://t.co/QapIpealb3 -> Application to register copyright enough to bring action OBAN US, LLC v. [read post]
7 Jul 2014, 5:39 am
Alijaj put all of Claimants’ funds into just three extremely thinly traded and highly volatile stocks. [read post]
27 Jun 2014, 5:00 am
In order to monitor employee trading for trades in restricted-list securities JP Turner required an employee to notify the other broker-dealer of their employment with JP Turner and request that duplicate statements be sent to the firm. [read post]
25 Jun 2014, 9:58 am
That presumption, when it applies, allows for common proof of reliance on the theory that investors rely upon the integrity of a stock’s trading price and, when the stock trades in an efficient market, such price reflects all public information, including any alleged material misstatements. [read post]
24 Jun 2014, 12:00 am
District Court for the Southern District of New York approved the SEC’s no-admit, no-deny consent decrees in its insider trading case against CR Intrinsic Investors, LLC and affiliated entities. [read post]
21 Jun 2014, 7:04 am
Advanced Tactical Ordinance Systems, LLC v. [read post]
20 Jun 2014, 11:22 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
19 Jun 2014, 10:57 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 Boca Raton, Florida. [read post]
18 Jun 2014, 7:33 am
” The complaint alleges that from 2008 until 2013, Della Penna used these three private investment funds to raise $3.8 million by telling investors that their investments would be invested into small companies or traded in securities. [read post]
16 Jun 2014, 7:09 am
In addition, FINRA found that Morgan Stanley’s inadequate policies failed to comply with the federal securities laws and other FINRA rules. [read post]
12 Jun 2014, 5:58 am
Administrative Proceeding File No.: 3-15912 Case filed: June 6, 2014 Qualifying judgment/order: June 6, 2014 06/06/2014 09/04/2014 2014-56 In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. [read post]
10 Jun 2014, 7:23 pm
linkThe Pro Edition of QuickCorporateMinutes™ is a full-featured corporate meeting minutes & resolutions management suite. [read post]
4 Jun 2014, 6:38 am
The Securities and Exchange Commission alleges that Scott Valente and his firm The ELIV Group LLC fraudulently raised more than $8.8 million from 80 clients by falsely claiming they achieve consistent and outsized positive returns coupled with misrepresentations about the safety of the investments. [read post]
3 Jun 2014, 5:15 pm
How difficult is it for a company to comply with its own data security, or privacy, policy? [read post]
3 Jun 2014, 5:15 pm
How difficult is it for a company to comply with its own data security, or privacy, policy? [read post]
3 Jun 2014, 7:15 am
Supreme Court’s recent prior decisions in AT&T Mobility LLC v. [read post]
2 Jun 2014, 2:34 pm
Have you suffered losses on investments made through former broker Reniero Francisco, the president of Arista, LLC? [read post]
2 Jun 2014, 12:10 pm
In Failure to Supervise: An Inside Perspective, securities expert witness Alan Besnoff, Securities Expert Witness & Litigation Support, LLC, writes: What are the steps that a Supervising Principal can and should take to assure adherence to FINRA regulations, the highest of ethical standards, and Supervisory duties are being met? [read post]
30 May 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined LPL Financial LLC $950,000 for supervisory deficiencies related to the sales of alternative investment products, including non-traded real estate investment trusts (REITs), oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through investments. [read post]
28 May 2014, 12:21 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]
