Search for: "E* Trade Securities LLC"
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22 Apr 2015, 10:22 am
---The attorneys at Sallah Astarita & Cox, LLC include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
2 May 2016, 12:48 pm
Department of Homeland Security’s Customs and Border Protection collects duties on imported goods in accordance with numerous trade rules and regulations, including the protection of U.S. industries from unfair competition from low-priced imported goods. [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
19 Nov 2021, 3:27 am
LLC (Federal Reserve Release)New Obstruction-Related Charges Filed Against Former Bank Vice President Convicted In Insider Trading Securities Fraud Scam / Convicted Fraudster Allegedly Ginned Up False Letters Of Support In Bid To Obtain Light Sentence for Securities Fraud Crimes (DOJ Release)Joliet Financial Advisor Indicted on Federal Fraud Charges for Allegedly Swindling Clients Out of Nearly $800,000 (DOJ Release)SEC Obtains Final Judgments for More Than $6… [read post]
6 Oct 2018, 10:09 am
According to BrokerCheck records financial advisor David Barber (Barber), formerly employed by Madison Avenue Securities, LLC (Madison Avenue) has been subject to five customer complaints, two regulatory actions, and one employment termination for cause. [read post]
27 Jul 2016, 10:31 am
On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced an enforcement action against RiverFront Investment Group, LLC, a registered investment adviser serving as sub-adviser to clients in wrap fee programs established by various sponsors (“RiverFront”). [read post]
23 Mar 2011, 8:58 pm
Related Web Resources: SEC Charges Two Hedge-Fund Managers, The Wall Street Journal, March 16, 2011 Read the SEC Complaint (PDF) More Blog Posts: Trueblue Strategies LLC Owner Settles SEC Charges that He Hid Investor Trading Losses in Hedge Fund Case, Institutional Investor Securities Blog, December 18, 2010 3 Hedge Funds Raided by FBI in Insider Trading Case, Stockbroker Fraud Blog, November 3, 2010 [read post]
1 Jul 2021, 9:15 am
Iorio Altamirano LLP is investigating claims on behalf of Robinhood Financial LLC (“Robinhood”) customers who were approved to trade options by Robinhood but did not satisfy eligibility requirements. [read post]
29 Nov 2018, 10:33 am
Philip Farese, meanwhile, has only one disclosure on his record in his 9 years in the securities industry, and has worked for Wells Fargo Clearing Services, LLC in Merrillville, IN since June 5, 2009, FINRA reports. [read post]
9 Sep 2013, 1:06 pm
The LLC Promissory Notes were not registered with the SEC as required under the securities laws. [read post]
21 Aug 2017, 5:00 am
File No. 3-17809 (Jan. 24, 2017), the Securities and Exchange Commission (“Commission”) found, in actions where the respondents neither admitted nor denied the findings, that Citigroup Global Markets Inc., (“CGMI”), and Morgan Stanley Smith Barney LLC (“MSSB”) violated Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
7 Sep 2008, 10:46 pm
LLC specialist Freddy DeBoer. [read post]
7 Dec 2018, 6:08 am
Bruce Plyer has 6 disclosures on FINRA BrokerCheck Report, and has worked for 29 years in the securities industry at 4 different firms, including the following: • International Assets Advisory, LLC in Morristown, NJ — December 22, 2016 to February 28, 2017 • Morgan Stanley, Florham Park, NJ — June 1, 2009 to December 23, 2016 • Citigroup Global Markets Inc. [read post]
22 Sep 2023, 6:02 am
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
25 Jun 2021, 10:20 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
14 Sep 2023, 1:51 pm
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan Vincent Glenn, for allocating profitable securities trades to favored accounts,…Read the Full Press Release Have a securities law question? [read post]
24 Jun 2020, 9:09 am
The Securities and Exchange Commission today announced settled charges against broker-dealer SG Americas Securities LLC for failing to provide complete and accurate securities trading information known as "blue sheet data. [read post]
28 Sep 2022, 8:06 am
LLC together with Morgan Stanley Smith Barney LLC; andUBS Securities LLC together with UBS Financial Services Inc.The following two firms have agreed to pay penalties of $50 million each:Jefferies LLC; andNomura Securities International, Inc.Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. [read post]
17 Feb 2021, 12:58 pm
According to the AWC, this conduct violated FINRA Rule 3280 (Private Securities Transactions of an Associated Person), 2111 (Suitability), and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
