Search for: "E* Trade Securities LLC"
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2 May 2012, 11:29 am
City Trading LLC (PDF) European Commission Calls for Delay in Implementation of U.S. [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
2 May 2012, 5:52 am
bit.ly/Ij3Ytl (Sharon Nelson) Google Offers Big-Data Analytics – nyti.ms/JoDZ1T (Quentin Hardy) House Passes Two Cybersecurity Bills – bit.ly/JoC5hK (Hunton & Williams) ICO Issues First Penalty To The NHS Following Serious Data Breach - bit.ly/IjTZI1 (ICO) ISO27001 v SSAE 16 For Information Security - bit.ly/Ko7sJX (Andy Techholz) Is Someone Reading your Email in a Dirty Cloud? [read post]
2 May 2012, 5:00 am
Phay, Jr., Associate General Counsel & CCO, Commonfund 10:10 – 11:00 Insider trading and restricted lists • Why every fund needs to have a restricted list? [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
29 Apr 2012, 7:31 pm
Gatz Properties LLC, C.A. [read post]
27 Apr 2012, 11:17 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]
25 Apr 2012, 1:25 pm
The Port of New York and New Jersey is the largest on the East Coast and accounts for 40 percent of the East Coast shipping trade. [read post]
25 Apr 2012, 12:28 pm
Also, about $100 million of investor money was used without their knowledge to trade in high-risk futures and securities, prosecutors said. [read post]
25 Apr 2012, 10:50 am
In May 2011, the SEC adopted final rules to implement Section 922 of the Dodd-Frank Act regarding securities whistleblower incentives and protection. [read post]
25 Apr 2012, 10:50 am
In May 2011, the SEC adopted final rules to implement Section 922 of the Dodd-Frank Act regarding securities whistleblower incentives and protection. [read post]
25 Apr 2012, 10:25 am
Beatport, LLC, 2012 WL 872574 (D. [read post]
25 Apr 2012, 8:53 am
Also, about $100 million of investor money was used without their knowledge to trade in high-risk futures and securities, prosecutors said. [read post]
RadLAX Oral Argument - Part II: What's Indubitably Bothering the Supreme Court Justices Equivalently
23 Apr 2012, 11:09 pm
" post on Justice Ginsburg's one-liner that stopped the Chrysler sale dead in its tracks, today's Supreme Court oral argument in RadLAX Gateway Hotel, LLC v. [read post]
23 Apr 2012, 7:08 am
Later that same day, the Bureau cease traded Fibrek’s shareholders rights plan. [read post]
23 Apr 2012, 5:11 am
Witnesses include James Giddens, trustee of the Securities Investment Protection Act liquidation of MF Global Inc.; Louis Freeh, trustee for MF Global Holdings; Jill Sommers, commissioner of the Commodity Futures Trading Commission; Robert Cook, director of the Securities and Exchange Commission's Division of Trading and Markets; Richard Ketchum, president, chairman and CEO of the Financial Industry Regulatory Authority; and Terrence Duffy,… [read post]
23 Apr 2012, 5:00 am
Madoff Investment Securities LLC. [read post]
21 Apr 2012, 12:42 pm
He decided to leave Goldman and join Teza Technologies, LLC, a financial firm in Chicago with plans to develop its own HFT system. [read post]
20 Apr 2012, 5:00 am
ATI Ladish LLC, 11-1976, 2012 WL 233641 (7th Cir. [read post]
