Search for: "National Security Exchange LLC"
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2 Sep 2022, 9:24 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]
5 Oct 2011, 3:17 pm
Edwards & Sons, Inc. and its successor firms, Wachovia Securities, LLC and Wells Fargo Advisors, LLC. [read post]
19 Sep 2017, 3:06 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. [read post]
26 May 2015, 11:32 am
FINRA alleged that LPL violated National Association of Securities Dealers (“NASD”) Rule 3010(b) and FINRA Rule 2010, which state that “[a] member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. [read post]
7 Aug 2013, 7:01 am
Thompson’s broker-dealer is TNP Securities LLC and TNP Securities is also named in the complaint. [read post]
22 Dec 2021, 9:15 pm
This paper considers a rulemaking effort underway at the Securities and Exchange Commission to regulate the conflicts of interest that result when brokers send client orders to venues that pay the broker a fee in exchange for routing to them. [read post]
26 Apr 2022, 12:23 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
2 Jul 2021, 9:43 am
In its settlement against New York broker-dealer Guggenheim Securities, LLC (Guggenheim), the SEC not only censured Guggenheim but also hit it with a penalty of $208,912. [read post]
5 Nov 2014, 2:56 pm
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 Vero Beach, Florida. [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
5 Dec 2010, 6:00 am
Such aiding-and-abetting claims under the federal securities may be pursued only in enforcement actions by the Securities and Exchange Commission (SEC). [read post]
21 Apr 2022, 12:52 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
5 Jan 2023, 8:38 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]
30 Aug 2010, 2:07 pm
National Underwriter reported that Slate Capital LLC, a unit of American International Group, Inc. [read post]
18 May 2022, 1:17 pm
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]
25 Aug 2020, 8:14 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 Franklin, Tennessee. [read post]
1 Sep 2023, 10:28 am
Securities and Exchange Commission erred in refusing to allow cryptocurrency investment firm Grayscale to convert its bitcoin trust into an ETF. [read post]
22 Dec 2016, 6:24 am
On December 1, 2016, the Securities and Exchange Commission (“SEC”) announced that it had filed a complaint for injunctive and other relief in the United States District Court for the Southern District of Florida against Onix Capital LLC (“Onix Capital”), an asset management company, and its owner, a Chilean national by the name of Alberto Chang-Rajii (“Chang”). [read post]
22 Dec 2016, 6:24 am
On December 1, 2016, the Securities and Exchange Commission (“SEC”) announced that it had filed a complaint for injunctive and other relief in the United States District Court for the Southern District of Florida against Onix Capital LLC (“Onix Capital”), an asset management company, and its owner, a Chilean national by the name of Alberto Chang-Rajii (“Chang”). [read post]
13 Sep 2022, 9:21 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]
