Search for: "E* Trade Securities LLC"
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28 Apr 2014, 3:10 am
Instead, Kalikow paid the entire $234,000 himself and secured a 9-month extension. [read post]
25 Apr 2014, 6:30 am
Last May, LPL 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]
23 Apr 2014, 7:40 am
M&G Polymers USA, LLC v. [read post]
23 Apr 2014, 3:00 am
In PatientPoint Network Solutions, LLC v. [read post]
21 Apr 2014, 2:44 pm
TABFG, LLC v. [read post]
21 Apr 2014, 7:08 am
Under the Commodity Exchange Act of 1936 (the “Act”), an entity that engages in the following activities on behalf of a fund (a “pool” in CFTC parlance) is generally required to register as a CPO: “any person engaged in a business that is of the nature of a commodity pool, investment trust, syndicate, or similar form of enterprise, and who, in connection therewith, solicits, accepts, or receives from others, funds,… [read post]
18 Apr 2014, 11:23 am
Municipal Mortgage & Equity, LLC, No. 12-2496 (4th Cir. [read post]
16 Apr 2014, 7:10 am
Exch., LLC, No. 2013-1326 (Fed. [read post]
15 Apr 2014, 9:43 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]
15 Apr 2014, 9:41 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]
13 Apr 2014, 8:59 am
The inventor secures exclusive rights in return for new, ingenious, useful and unobvious disclosures and dedication of the invention to the public when the term expires. [read post]
11 Apr 2014, 3:11 pm
Then, one month later on March 24, 2014, FINRA announced that it had fined LPL Financial LLC $950,000 for supervisory deficiencies related to brokers' recommendations and sales to public investors of alternative investments, including non-traded REITs, oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through investments. [read post]
11 Apr 2014, 7:41 am
Justice Roberts and the majority cite the circumstances in Commodity Futures Trading Commission v. [read post]
10 Apr 2014, 9:24 am
T-Mobile South, LLC v. [read post]
7 Apr 2014, 7:01 am
The law offices of Gana LLP recently filed a complaint against RBC Capital Markets, LLC (RBC) and Morgan Stanley Smith Barney, LLC (Morgan Stanley) accusing their registered representative Bruce Weinstein (Weinstein) of churning (excessive trading) and making unsuitable recommendations. [read post]
7 Apr 2014, 5:12 am
An SEC investigation found that Joseph Dondero, a co-owner of Visionary Trading LLC, repeatedly used this strategy to induce other market participants to trade in a particular stock. [read post]
4 Apr 2014, 5:40 am
Chapter 13 is not available to partnerships (although individual partners may file), corporations or LLCs that operate businesses. [read post]
3 Apr 2014, 6:07 am
Rockwell Global Capital LLC (Rockwell) brokers Robert E. [read post]
28 Mar 2014, 2:42 pm
Today, the Federal Trade Commission announced settlements with two mobile app makers that allegedly failed to provide reasonable security for the personal information collected in connection with their apps. [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]
