Search for: "E* Trade Securities LLC"
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4 May 2007, 9:28 am
Geoffrey Brod, a former Aeltus Investment Management LLC portfolio manager has been charged by the SEC with concealing personal stock trades held by mutual funds that he was overseeing. [read post]
2 Mar 2016, 12:00 pm
Securities and Exchange Commission (“SEC” or the “Commission”) ruled that Former Neuberger Berman Analyst Sandeep “Sandy” Goyal, whom the SEC previously barred from the securities industry after he pled guilty to insider trading, could participate in the industry again. [read post]
17 Dec 2020, 6:01 am
The Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to…Read the Full Press ReleaseHave a securities law question? [read post]
18 Aug 2023, 7:20 am
Options are a type of derivative security. [read post]
20 Dec 2011, 1:47 pm
A subsidiary of Wells Fargo Bank, Wells Fargo Investments LLC changed its name to Wells Fargo Advisors LLC in March 2010 when it merged with Wachovia Securities LLC at the same time its parent bank merged with Wachovia Bank. [read post]
3 Jun 2020, 12:28 pm
The post UBS Pulls ETRACS Exchange-Traded Note (ETN) Off Market as Value Plunges to Near Zero appeared first on Zamansky LLC. [read post]
12 Jul 2022, 9:56 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 Seattle, Washington. [read post]
2 Nov 2018, 6:56 am
Turner & Company, LLC in Atlanta, GA from October 6, 2002 until May 11, 2004. [read post]
13 Aug 2008, 4:39 pm
The suit alleges that Stifel Financial Corp. and its subsidiary Stifel, Nicolaus & Company, Inc. violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 by deceiving investors about the investment characteristics of auction rate securities and the auction market in which the securities are traded. [read post]
10 Aug 2020, 7:09 am
The Securities and Exchange Commission today announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle charges it repeatedly failed to file Suspicious Activity Reports (SARs) for U.S. microcap securities trades it executed on…Read the Full Press ReleaseHave a securities law question? [read post]
24 Sep 2019, 1:18 pm
The Securities and Exchange Commission today announced that TMC Bonds LLC, operator of an alternative trading system (ATS) for fixed income securities, has agreed to pay $2.1 million to settle charges arising from TMC Bonds’ failure to protect…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
12 Nov 2016, 6:00 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
5 Nov 2019, 9:20 am
On October 28, 2019, staff in the SEC’s Division of Trading and Markets provided a no-action letter to Paxos Trust Company, LLC permitting it to pilot a blockchain-based clearance and settlement platform for a limited number of U.S. [read post]
11 Apr 2023, 6:24 am
(NASAA) in settling with Robinhood Financial LLC for $10.2 million. [read post]
10 Mar 2020, 6:32 am
Securities Fraud Attorneys in Nashville, Tennessee The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at the Financial Industry Regulatory Authority and the Securities and Exchange Commission. [read post]
5 Mar 2023, 1:24 pm
Background The government alleges that Peizer first established a Rule 10b5-1 trading plan for his investment vehicle, Acuitas Group Holdings LLC, in May 2021. [read post]
19 Jan 2023, 12:49 pm
Mezrahi is co-founder and CEO and Sigrist is Vice President of Data Science at SAR LLC. [read post]
23 Aug 2018, 5:13 am
Unauthorized trading occurs when a broker sells securities without the prior consent from the investor. [read post]
26 Mar 2024, 12:13 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
12 Oct 2012, 5:40 pm
FINRA is fining Guggenheim Securities, LLC $800,000 for allegedly not supervising two collateralized debt obligation traders accused of hiding a trading loss. [read post]
