Search for: "E* Trade Securities LLC"
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19 Mar 2020, 7:01 am
While the second was filed in Humboldt County, California, against Mandel, Trinidad Consulting, and Trinidad Management, LLC, which has been trading as Cannadips. [read post]
23 Feb 2018, 3:22 pm
The lessee secured and sponsored exhibitors for the trade shows. [read post]
5 Sep 2014, 5:00 am
by Chip Phinney in Mintz Levin’s Securities Litigation and Compliance In some respects the Wal-Mart decision is disconcerting for corporate counsel. [read post]
9 Sep 2016, 3:00 am
” In arguing that a security contract was involved, the defendants pointed to several factors, including the registration and active trading of interests in the term loans. [read post]
20 Dec 2019, 6:10 am
Langevoort (Georgetown University), on Wednesday, December 18, 2019 Tags: Inside information, Insider trading, SEC enforcement, Securities enforcement, Supreme Court The Compensation Committee’s Role in Succession Planning Posted by David N. [read post]
17 Dec 2009, 6:15 am
Now, many professional practices incorporate as PC's or LLC's.) [read post]
6 Mar 2012, 6:52 am
Crosley, Director, IU CLEAR Health Information, Crosley Law Offices, LLC. [read post]
7 Feb 2023, 10:28 am
Co., LLC). [read post]
28 Jun 2019, 11:31 am
Siegel was registered with National Securities Corporation in Edison, New Jersey from April 21, 2014 to May 13, 2016, and with Concorde Investment Services, LLC in Parsippany, New Jersey from September 19, 2013 until April 22, 2014, according to Michael Siegel’s FINRA BrokerCheck Report. [read post]
3 Feb 2016, 7:27 am
The findings also stated that the firm reported municipal securities transactions to the MSRB in an untimely manner, failed to conduct supervisory reviews of MSRB Report Cards, and failed to designate a registered principal with responsibility to conduct supervisory reviews of the firm’s reporting of municipal securities transactions.Wells Fargo Securities, LLC. [read post]
7 Oct 2022, 6:30 am
Ellerman, Ira Kay, and Mike Kesner, Pay Governance LLC, on Tuesday, October 4, 2022 Tags: Dodd-Frank Act, SEC, SEC rulemaking, TSR Potential Litigation Risks Associated with the SEC’s Proposed Climate-Disclosure Rule Posted by Nicolas Grabar, Jared Gerber, Charity E. [read post]
8 Sep 2017, 6:00 am
Hart, Harvard University, on Tuesday, September 5, 2017 Tags: CHOICE Act, Corporate Social Responsibility, ESG, Institutional Investors, Securities regulation, Shareholder value, Shareholder voting Executive Compensation: A Survey of Theory and Evidence Posted by Alex Edmans, London Business School; Xavier Gabaix, Harvard University; and Dirk Jenter, London School of Economics, on Wednesday,… [read post]
16 Aug 2010, 2:30 am
(IP Directions) USPTO expands patent application backlog reduction stimulus plan (Patent Docs) USPTO launches Facebook page (Patent Docs) Prior art in the Library of Congress (Securing Innovation) CBS News highlights growing backlog at the USPTO (Patent Baristas) Which is more valuable: trade secrets or patents? [read post]
20 Jul 2023, 2:09 am
It is responsible for overseeing the activities of brokerage firms, and for enforcing rules and regulations related to the trading of securities. [read post]
8 Mar 2021, 7:23 pm
WallStreetBets and other retail traders—individual traders trading securities for personal accounts, as opposed to institutional traders trading for institutions—noticed Melvin Capital and other hedge funds heavily short selling GME. [read post]
30 Jun 2010, 3:03 pm
JUNE 26, 2010 Goldman Told to Pay Bayou Fund Creditors By SUSANNE CRAIG Goldman Sachs Group Inc. was ordered to pay $20.6 million, the largest arbitration award levied against the securities firm, to unsecured creditors of Bayou Group LLC who accused Goldman of ignoring signs of fraud at the hedge-fund firm. [read post]
14 Aug 2023, 2:11 am
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]
19 Oct 2011, 12:10 pm
It is apparently for just that reason that few alternative entities have been used as a vehicle to issue publicly traded securities, such as limited partnerships or membership interests. [read post]
21 Jul 2011, 11:59 pm
As I have argued, that puts a huge burden on private companies, LLCs and partnerships. [read post]
24 Aug 2011, 2:00 am
LLC, 424 B.R. 122 (Bankr. [read post]
