Search for: "Interactive Brokers LLC"
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18 Dec 2018, 11:20 am
Interactive Brokers LLC, affirming the invalidation of patent claims owned by Chart Trading in covered business method (CBM) proceedings instituted at the Patent Trial and Appeal Board (PTAB). [read post]
24 Apr 2019, 5:15 am
IBG LLC, Interactive Brokers LLC (2018-1063), the Federal Circuit agreed with the Patent Trial and Appeal Board (PTAB) that the contested claims of Trading Technologies International, Inc’s patents for graphical user interfaces (GUI) for electronic trading, numbers 7,533,056, 7,212,999, and 7,904,374, were eligible for covered business method (CBM) review and also patent ineligible. [read post]
7 Jan 2019, 9:03 am
Accordingly, the ruling of the lower court was affirmed (Interactive Brokers, LLC v. [read post]
5 Feb 2016, 6:14 am
The investment fraud lawyers of Gana LLP are investigating customer complaints and the termination by LPL Financial, LLC (LPL) of broker Alfred Talens (Talens). [read post]
7 Dec 2016, 6:16 am
Our firm is investigating claims made by Castleview Partners, LLC (Castleview Partners) when the firm terminated broker Ralph Fetrow (Fetrow). [read post]
27 Jun 2017, 7:18 am
(Sterne Agee) and Interactive Brokers LLC (Interactive Brokers) alleging that the firms failed to supervise Mustaphalli’s misconduct and otherwise aided his fraud causing them approximately $3,000,000 in losses. [read post]
12 Mar 2019, 1:20 pm
Scoville and Traffic Monsoon LLC that just became available in January 2019. [read post]
4 Sep 2015, 4:47 am
The Financial Industry Regulatory Authority (FINRA) barred former LPL Financial LLC (LPL) broker Thomas Caniford (Caniford) after the broker failed to respond to a letter from the regulator requesting information. [read post]
18 Oct 2016, 6:50 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
30 Jun 2022, 1:47 pm
Read More [read post]
1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
24 Jun 2015, 7:33 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
5 Jun 2024, 1:15 pm
IBG LLC, Interactive Brokers LLC, 2022-1630 (Fed. [read post]
24 Dec 2018, 11:35 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
25 Jul 2013, 1:02 pm
The lawsuit was filed after investors received an email stating that one of Galemmo’s funds, Queen City Investments, LLC., “will no longer be in operation,” The email went on to say that Galemmo would not be available to answer questions, and that under the advisement of his attorney, he should not have “any interaction” with his clients. [read post]
11 Mar 2011, 1:59 pm
Anne Milgram, New Jersey’s Attorney General, sued Orbitz and its ticket-broker affiliates for violation of New Jersey’s Consumer Fraud Act (“CFA”). [read post]
11 Mar 2011, 1:57 pm
Anne Milgram, New Jersey’s Attorney General, sued Orbitz and its ticket-broker affiliates for violation of New Jersey’s Consumer Fraud Act (“CFA”). [read post]
12 Mar 2015, 6:45 am
Thereafter, from December 2009, until June 2010, Fackrell was a broker with Wells Fargo Advisors, LLC. [read post]
