Search for: "E*Trade Securities LLC"
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22 Feb 2016, 4:36 pm
Courts have held that the scope of liability under section 10(b)(5) is broad, and it has been used against a wide range of behaviors from misleading statements in company filings and documents to insider trading and market manipulation cases. [read post]
16 Feb 2016, 4:50 pm
Background The Carlyle Group is the trade name of a global private equity firm. [read post]
28 Jan 2016, 11:46 am
In addition to making the $2.877 million payment to fully reimburse fund investors for their losses, Kuperman has agreed to pay a $75,000 penalty and be barred from the securities industry.The SEC’s investigation was conducted by Karen E. [read post]
27 Jan 2016, 5:52 pm
Clark of VedderPrice on the firm’s Media & Privacy Risk Report Data Security in the Financial Industry: Five Key Developments to Keep An Eye on in 2016 – Jenna Felz of BakerHostetler on the firm’s Data Privacy Monitor Snow Laughing Matter: Employers Ask Important Questions About Inclement Weather and their Responsibilities towards Employees – Philadelphia lawyer Eric Greco of Obermayer on the firm’s blog, HR Legalist Cuba Sanctions… [read post]
27 Jan 2016, 6:25 am
CAT3, LLC v. [read post]
20 Jan 2016, 5:21 am
Moskowitz, Michael E. [read post]
19 Jan 2016, 4:26 pm
He has pled not guilty and was released on $5 million bail he posted with a $45-million-dollar E-trade account. [read post]
15 Jan 2016, 1:17 pm
They were designed to combine the tax benefits of limited partnerships with the liquidity of publicly traded securities. [read post]
15 Jan 2016, 12:34 pm
In this case, Aurora, LLC was the prime contractor for security clearance purposes only. [read post]
11 Jan 2016, 3:10 pm
Giles Construction, LLC v. [read post]
8 Jan 2016, 5:26 am
’ LVRC Holdings LLC v. [read post]
28 Dec 2015, 2:51 am
Howard E King, The lawyer for Thicke, WIlliams and co-writer rapper TI, said the decision set a "horrible precedent for music and creativity going forward". [read post]
10 Dec 2015, 8:36 am
Many of the approved offerings seek to publicly sell securities that likely will not result in loss of control for the current owners or require mandatory distributions or dividends, despite potentially raising millions. [read post]
10 Nov 2015, 8:40 am
ALJ James E. [read post]
7 Oct 2015, 4:46 pm
See, e.g., In re General Motors LLC Ignition Switch Litigation, 80 F. [read post]
6 Oct 2015, 7:08 am
Weinstein, Esq., Gana LLP, 345 Seventh Avenue, 21st Floor, New York, NY, 10001, Telephone: (212) 776-4252, E-Mail: agana@ganallp.com. [read post]
6 Oct 2015, 3:05 am
[i] Newman and Chiasson were accused of trading Dell and NVIDIA securities based upon material, nonpublic information they received from their respective analysts. [read post]
1 Oct 2015, 1:42 pm
Seagull Energy E & P, Inc. v. [read post]
1 Oct 2015, 1:42 pm
Seagull Energy E & P, Inc. v. [read post]
28 Sep 2015, 2:10 pm
In 2014, for instance, a DOL investigation resulted in Shell Oil Co. and Motiva Enterprises LLC, which markets Shell gasoline and other products, agreeing to pay $4,470,764 in overtime back wages to 2,677 current and former chemical and refinery employees to settle DOL charges that the companies violated FLSA overtime provisions by not paying workers for the time spent at mandatory pre-shift meetings and failing to record the time spent at these meetings. [read post]
