Search for: "E* Trade Securities LLC"
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28 Jan 2013, 9:46 am
A class action lawsuit filed in December 2012 alleges that the fund deviated from an announced strategy of investing in debt securities by trading in high-risk credit default swaps. [read post]
28 Jan 2013, 6:15 am
As of April 1, LPL reps no longer can source those kinds of mutual funds directly from a fund sponsor such as ProFund Advisors LLC or Rydex Funds. [read post]
24 Jan 2013, 6:00 am
If a couple who owns a large estate, estimated at $20 million, in publicly traded securities and income-producing real estate would like to bequeath their estates to their children without incurring a large estate tax and provide some of their... [read post]
22 Jan 2013, 10:00 am
On December 20, 2012, the Federal Trade Commission (the “FTC”) released a report titled “A Review of Food Marketing to Children and Adolescents: Follow-Up Report,” where it identified certain positive trends. [read post]
18 Jan 2013, 2:03 pm
Insider Trading: Former Trader Settles Charges in Connection with 3Com Corp Acquisition Eric Rogers, former trader at Spectrum Trading LLC, has agreed to settle charges of insider trading. [read post]
17 Jan 2013, 11:10 am
The SEC settled charges against Eric Rogers, a former proprietary trader at the now-defunct registered broker-dealer Spectrum Trading, LLC. [read post]
9 Jan 2013, 12:20 pm
Some of the complex products involved in 2012 disciplinary and enforcement actions were non-traded REITs, exchange-traded funds (ETFs), and structured products. [read post]
7 Jan 2013, 6:00 pm
Jonathan Macey is the Sam Harris Professor of Corporate Law, Securities Law and Corporate Finance at Yale Law School. [read post]
7 Jan 2013, 6:30 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]
31 Dec 2012, 3:29 pm
Morgan), Facebook (Lown Companies, LLC v. [read post]
31 Dec 2012, 3:29 pm
Morgan), Facebook (Lown Companies, LLC v. [read post]
28 Dec 2012, 12:11 pm
And in Saddlers Row, the employer admitted it wasn't trying to protect trade secrets. [read post]
27 Dec 2012, 5:33 am
Labor Department officials announced Deerebuilt LLC in Ardmore, Okla., has paid $85,105 in overtime back wages to 112 current and former employees following a W&HD investigation that found that the employer paid “straight time” for all hours worked, failing to pay overtime at time and one-half employees’ regular rates of pay for hours worked beyond 40 in a workweek, as required by the FLSA. [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
Madoff Investment Securities LLC (BLMI), was sentenced on December 20, 2012 to 10 years in prison after he pled guilty among other things, to conspiracy to commit securities fraud, tax fraud, mail fraud, ERISA fraud and falsifying records of an investment adviser. [read post]
19 Dec 2012, 11:45 am
Louis-based Fiduciary Asset Management LLC (FAMCO), agreed to settle the SEC’s charges. [read post]
3 Dec 2012, 9:09 am
Governor Scott announced the Canadian security company Garda will relocate its U.S. headquarters to Boca Raton Florida, creating 100 professional jobs, which has been exceeded. [read post]
27 Nov 2012, 7:33 am
Following the recent Fourth Circuit opinion in WEC Carolina Energy Solutions LLC v. [read post]
26 Nov 2012, 2:38 am
In Sempris, LLC. [read post]
22 Nov 2012, 3:00 am
Here are the noteworthy trade secret, non-compete and cybersecurity stories from the past week, as well one or two that I missed over the past couple of weeks: Noteworthy Trade Secret and Non-Compete Posts and Cases: A Kansas City jury has awarded $31.3 million to Hallmark Cards in a trade secret dispute against Boston-area private equity firm Monitor Clipper Partners LLC, reports Todd Sullivan's Trade Secrets &… [read post]
19 Nov 2012, 12:26 pm
The Securities and Exchange Commission today charged Stephen A. [read post]
