Search for: "E* Trade Securities LLC"
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20 Jun 2013, 5:01 pm
Seth Beoku Betts, 37, Boynton Beach, Florida, a principal of Betts and Gambles Global Equities, LLC, was arrested on the charge of wire fraud for operating an investment scheme whereby he promised investors funds would be used for the purposes of trading in collateralized mortgage obligations. [read post]
17 Jun 2013, 9:18 am
Lube-Tech also had not alleged it had security measures or a computer-use policy. [read post]
17 Jun 2013, 6:25 am
Attorney's Office for the Southern District of New York announced criminal charges against the managing partner.The attorneys at Sallah Astarita & Cox, LLC have decades of experience in securities fraud investigations and in defending white collar criminal cases. [read post]
10 Jun 2013, 10:04 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]
6 Jun 2013, 10:35 am
Western Real Estate Equities, LLC (“Western”) acquired the debtor’s secured debt “with an eye toward displacing the Village as owner of the underlying real estate. [read post]
6 Jun 2013, 10:35 am
Western Real Estate Equities, LLC (“Western”) acquired the debtor’s secured debt “with an eye toward displacing the Village as owner of the underlying real estate. [read post]
5 Jun 2013, 1:41 pm
The Order also censured Nasdaq and its affiliate, Nasdaq Execution Services, LLC. [read post]
30 May 2013, 1:10 pm
Eye Street licensed the software to VRCompliance, LLC, and VRCompliance uses the software to investigate tax compliance on behalf of localities such as the Colorado Association of Ski Towns ("CAST"). [read post]
28 May 2013, 8:43 pm
Mach Mining, LLC, No. 11-CV-879-JPG-PMF, 2013 WL 319337 (S.D. [read post]
24 May 2013, 10:09 am
Here, although plaintiffs alleged that Dweck was part of a group that engaged in phony trading activity, they did not and could not allege “that any plaintiff was told of Dweck’s artificial trading, or purchased securities in specific reliance on such trading. [read post]
21 May 2013, 10:00 am
FMR, LLC. [read post]
20 May 2013, 9:54 am
CITY OF BELLEAIR BLUFFS, Appellee. 2nd District.Torts -- Fraud -- Contracts -- Violations of Jordanian law -- Dispute arising out of agreements, acts, and communications relating to U.S. government procurement contracts -- Trial court did not abuse its discretion in excluding expert testimony concerning whether there is condition precedent, under Jordanian law, that notice be given to certain Jordanian ministry prior to plaintiff's instituting suit where condition precedent claim… [read post]
13 May 2013, 1:00 pm
Of further note, in two recent no-action letters issued by the SEC related to online angel investment platforms, the SEC’s Division of Trading and Markets issued no-action letters to FundersClub Inc. and AngelList LLC who were seeking confirmation that their online activities would not result in enforcement action by the SEC. [read post]
9 May 2013, 11:43 am
Wells Fargo Investments, LLC, Nos. 11-17017, 11-55859, 11-55943, 11-55958, 2013 WL 1405949 (9th Cir. [read post]
9 May 2013, 11:17 am
Wells Fargo Investments, LLC, Nos. 11-17017, 11-55859, 11-55943, 11-55958, 2013 WL 1405949 (9th Cir. [read post]
9 May 2013, 11:02 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]
8 May 2013, 9:45 pm
FINRA recently entered into a settlement with Gar Wood Securities LLC (the "AWC") concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to identify "suspicious" activity in a customer's account that should have warranted the filing of a Form SAR-SF. [read post]
8 May 2013, 4:45 pm
FINRA recently entered into a settlement with Gar Wood Securities LLC (the “AWC”) concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to identify “suspicious” activity in a customer’s account that should have warranted the filing of a Form SAR-SF. [read post]
8 May 2013, 1:10 pm
As Brian Krebs of Krebs on Security reports, the domain registrar Network Solutions LLC has taken control of 708 domain names in the .com, .org, and .net top-level domains registered to Syrian organizations. [read post]
1 May 2013, 10:02 am
Nonetheless, relying on its earlier decision in LVRC Holdings LLC v. [read post]
