Search for: "E* Trade Securities LLC"
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28 May 2014, 5:49 am
Unauthorized trading occurs when a advisor transacts in securities without the prior consent or authority from the investor. [read post]
23 May 2014, 5:05 am
HCM purportedly bought and sold exchange traded funds based on a proprietary trading strategy implemented by a computer program. [read post]
22 May 2014, 3:56 pm
Hunter Wise Commodities, LLC, Hunter Wise Services, LLC, Hunter Wise Credit, LLC, and Hunter Wise Trading, LLC and the individuals running the companies, have been ordered to pay, jointly and severally, $52.6 million in restitution to the defrauded customers and to pay a civil monetary penalty, jointly and severally, of $55.4 million, the maximum provided by law. [read post]
22 May 2014, 10:51 am
(USA) LLC, No. 12-1750, 2014 U.S. [read post]
21 May 2014, 12:19 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]
21 May 2014, 4:53 am
Hilco Trading, LLC, et al. v. [read post]
19 May 2014, 10:29 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
19 May 2014, 4:42 am
The attorneys at Gana LLP are experienced in representing investors to recover their financial losses concerning in cases of securities fraud. [read post]
16 May 2014, 6:22 pm
States of the United States do not have customs regulations and most states do not have to deal with international security issues in the course of interstate commerce. [read post]
16 May 2014, 5:15 pm
In Failure to Supervise: An Inside Perspective, securities expert witness Alan Besnoff, Securities Expert Witness & Litigation Support, LLC, writes:This article will examine the variety of steps and actions that can and should be taken by a firms’ Supervising Principal to assure that the proper degree of supervision of brokers is being performed. [read post]
13 May 2014, 7:38 am
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]
10 May 2014, 3:27 am
Credit Suisse Securities (USA) LLC, 2014 WL 1910961 (1st Cir. [read post]
8 May 2014, 12:44 pm
Certain Unknown Traders in the Securities of H.J. [read post]
6 May 2014, 4:26 pm
Highlighting one area of the problem, SEC Commissioner Luis Aguilar cited a 2012 global survey that found that 53 percent of securities exchanges had experienced a cyber-attack in the previous year. [read post]
6 May 2014, 8:46 am
Prior to joining O’Neill & Borges LLC Mr. [read post]
6 May 2014, 8:43 am
Bauer-Álvarez is a member in the O’Neill & Borges LLC Litigation Department. [read post]
5 May 2014, 6:29 am
After a long, and on-going, investigation by the Securities and Exchange Commission, DAP finally closed up shop in May of 2013. [read post]
5 May 2014, 4:49 am
Bauer-Álvarez (O’Neill & Borges LLC), Carmen D. [read post]
5 May 2014, 4:09 am
Copyright © 2013 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
5 May 2014, 3:22 am
Background Deerin involves a Long Island based, New York limited liability company known as Ocean Rich Foods, LLC, which is in the business of importing and distributing seafood under the trade name Ocean Edge Foods. [read post]
