Search for: "E*Trade Securities LLC"
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23 Dec 2016, 1:00 am
Sharfman, University of Oklahoma, on Thursday, December 22, 2016 Tags: Corporate Social Responsibility, Environmental disclosure, ESG, Firm valuation, Institutional Investors, Institutional monitoring, Market efficiency, Ownership, Profitability, Public perception, Reputation, Risk management, Risk-taking, Shareholder value, Stock analysts, Sustainability Proxy Advisors and Investors Prep for 2017 Proxy Season Posted by Shirley Westcott, Alliance Advisors LLC, on Thursday, December 22,… [read post]
13 Dec 2016, 9:54 am
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. [read post]
1 Dec 2016, 12:00 am
Yet, the court was not persuaded and found commonly used confidentiality and e-mail harassment policies illegal. [read post]
25 Nov 2016, 1:01 am
Rosen and Charles E. [read post]
11 Nov 2016, 4:07 am
Morgan Securities LLC (collectively, “Lead Underwriters”). [read post]
21 Oct 2016, 1:00 am
Langevoort, Georgetown University Law Center, on Thursday, October 20, 2016 Tags: Behavioral finance, Compliance & ethics, Disclosure, Diversity, Information environment, Insider trading, Investor protection, Market efficiency, Misconduct, Overconfidence, Securities regulation Voting Standards Are Not that Standard Posted by Daniel E. [read post]
15 Aug 2016, 3:08 pm
The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Robert E. [read post]
21 Jul 2016, 12:44 pm
Lewis Gale Med. (7/13/16), the plaintiff sued his former employer Lewis Gale Medical Center LLC for violating the Americans with Disabilities Act. [read post]
16 Jun 2016, 2:48 pm
The same goes for data security incidents. [read post]
10 Jun 2016, 7:16 am
Only Tier 2 companies are required to file a Form 1-K, one of trade-offs for not having to register with the states. [read post]
3 Jun 2016, 7:32 am
Fraud charges against three brokerage subsidiaries and two former employees of global trading services provider ConvergEx Group LLC and the former CEOs of two of the brokerage subsidiaries – ConvergEx Global Markets and G-Trade Services LLC, in a scheme causing many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders. [read post]
3 May 2016, 5:08 pm
The named plaintiffs allege that OPM failed to implement and maintain adequate cyber-security measures to protect the class members’ PII and PPI.[7] Regulatory Actions The Federal Trade Commission (“FTC”) has been the most active federal regulator policing corporate cyber-security practices. [read post]
23 Apr 2016, 7:50 am
* Malibu Media, LLC v. [read post]
6 Apr 2016, 6:41 am
§ 1030(e)(11). [read post]
31 Mar 2016, 9:51 am
Specifically, the firm and Voldness failed to mark certain of the customer order tickets for the purchase of the shares as solicited.Fulcrum Securities, LLC (Saint Louis, Missouri)Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to adequately enforce its WSPs to adequately detect, investigate and, if appropriate, report potentially suspicious activities or manipulative trading by customers in… [read post]
30 Mar 2016, 12:00 am
IT security is a growing concern, and one reinforced by the presence of vendors. [read post]
25 Mar 2016, 9:16 am
§ 102(e) and 35 U.S.C. [read post]
14 Mar 2016, 2:56 am
A paralegal working at the insured law firm, Cumberland & Erly, LLC (“C&E”), embezzled $157,268.75 through forging checks. [read post]
29 Feb 2016, 4:43 pm
This past year was an eventful one in the corporate and securities litigation arena, with the U.S. [read post]
23 Feb 2016, 7:36 am
No. 3-16361, for violation of their duty to file suspicious activity reports (“SARs”); and its action against a current and former unit of E*Trade Financial Corporation, Admin. [read post]
