Search for: "E* Trade Securities LLC"
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20 Feb 2014, 10:35 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]
20 Feb 2014, 7:33 am
For companies with shares traded on a public exchange or securities registered with the U.S. [read post]
14 Feb 2014, 12:00 pm
Federal Trade Commission 13-534Issue: Whether, for purposes of the state-action exemption from federal antitrust law, an official state regulatory board created by state law may properly be treated as a “private” actor simply because, pursuant to state law, a majority of the board’s members are also market participants who are elected to their official positions by other market participants. [read post]
13 Feb 2014, 5:02 am
Faherty, a Certified Financial Planner™ and founder of Redbird Partners. [read post]
10 Feb 2014, 4:56 am
In furtherance of his scheme, Persaud formed and controlled the White Elephant Trading Company LLC. [read post]
7 Feb 2014, 3:17 pm
For example, the security interest must be a first priority security interest.Also, at least 90% of the fair market value of the total assets of the disregarded LLC must be real property used in a trade or business, with the other assets being incidental to the acquisition, ownership and operation of the real property. [read post]
7 Feb 2014, 11:33 am
Fortunately, Cisco continued to fight until it secured a settlement much lower than the billions Innovatio claimed to be entitled to. [read post]
6 Feb 2014, 9:40 pm
Motley Crue’s “Drum Ring” Isn’t Stolen Trade Secret King v. [read post]
6 Feb 2014, 7:35 am
In January, 2009, Wife was wooed by Wachovia Securities, LLC to serve as a client financial advisor and a managing director of investments. [read post]
4 Feb 2014, 11:23 am
[TTABlogged here].In re Waves Licensing, LLC, Appeal No. 14-1202 (Serial No. 85437501, September 30, 2013) [Section 2(d) refusal to register the mark SFG for "providing financial intermediation services to institutional investors with respect to securities and other financial instruments and products, namely, brokerage in the field of securities, trading of and investments in securities and financial instruments and products; financial exchange;… [read post]
4 Feb 2014, 9:56 am
On the flip side, in Ardis Health LLC v. [read post]
4 Feb 2014, 6:15 am
Thereafter, Burstein became licensed as a registered representative of at least 15 other brokerage firms including Aura Financial Services, Inc., Pointe Capital, LLC, Legend Securities, Inc., and R.M. [read post]
3 Feb 2014, 6:26 am
Broker Benjamin Cox (Cox) has settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning improper sales of oil and gas private placement offerings sold by Red River Securities LLC (Red River). [read post]
3 Feb 2014, 6:00 am
Call the attorneys at Sallah Astarita & Cox, LLC for a free telephone consultation - 212-509-6544.Related articlesShort Selling Stocks- Is it Ethical FSU Professors Charged In Short Selling Scheme [read post]
30 Jan 2014, 12:00 pm
To anticipate those consequences, employers should: Implement access controls with the law of data security in mind. [read post]
30 Jan 2014, 8:38 am
In Dish Network LLC v. [read post]
29 Jan 2014, 10:02 am
Many of Diaz’s customer complaints concerns his activities while at GunnAllen and involve claims concerning equities trading. [read post]
27 Jan 2014, 7:41 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds and issuers of securities, among others. [read post]
27 Jan 2014, 7:09 am
., was accused by Massachusetts securities regulators of excessive trading in the account of an 81-year-old person from 2010 to 2012. [read post]
24 Jan 2014, 4:55 am
In its broker-dealer FINRA profile, NPM Securities said that it is in "the process of registering with the SEC as an alternative trading system assisting in the matching of buyers and sellers in primary and secondary offerings of the securities of privately held companies." [read post]
