Search for: "E* Trade Securities LLC"
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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]
24 Jan 2014, 12:57 am
Courts should not substitute their inexperienced business decisions for the good-faith decisions of independent and diligent business exexcutives, who have a far greater ability to make appropriate business decisions based on their extensive commerical knowledge, experience and training. [read post]
24 Jan 2014, 12:57 am
Courts should not substitute their inexperienced business decisions for the good-faith decisions of independent and diligent business exexcutives, who have a far greater ability to make appropriate business decisions based on their extensive commerical knowledge, experience and training. [read post]
23 Jan 2014, 2:51 am
With this information and the business units’ support, she was able to secure funding for this compliance initiative. [read post]
16 Jan 2014, 1:48 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
16 Jan 2014, 12:38 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]
15 Jan 2014, 2:24 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
15 Jan 2014, 8:22 am
As if hearing federal judges say malpractice and Rule 502(d) orders in the same sentence were not enough to convince federal court litigants to use them, cases throughout the year further highlighted the importance of securing these orders. [read post]
15 Jan 2014, 8:08 am
Indianapolis, Indiana - In the matter of Orbitz, LLC v. [read post]
14 Jan 2014, 2:49 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]
14 Jan 2014, 2:38 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]
14 Jan 2014, 9:48 am
Beatport, LLC, No. 10-2912 (D. [read post]
12 Jan 2014, 5:30 am
UPONOR Minn2013http://t.co/T61hjeeHwT -> Joinder in BitTorrent copyright claim ok, TCYK, LLC v. [read post]
2 Jan 2014, 9:15 am
: 3-15587 Case filed: October 24, 2013 Qualifying judgment/order: October 24, 2013 11/21/2013 02/19/2014 2013-103 In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. [read post]
2 Jan 2014, 5:40 am
When placing the trades, Renard allegedly falsely marked the trades as unsolicited. [read post]
31 Dec 2013, 1:07 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]
30 Dec 2013, 4:56 am
The Securities and Exchange Commission today announced sanctions against a New York-based brokerage firm for ignoring red flags and paying more than $400,000 in soft dollars for expenses that an investment adviser had not properly disclosed to clients.Soft dollars are credits or rebates from a brokerage firm on commissions that clients pay for trades executed in an investment adviser's client accounts. [read post]
27 Dec 2013, 6:36 am
In 2013, spying became the new black, with the National Security Agency leading the way. [read post]
