Search for: "E* Trade Securities LLC"
Results 4101 - 4120
of 5,311
Sort by Relevance
|
Sort by Date
31 Mar 2012, 8:17 pm
The findings stated that Dooley recommended purchase speculative exchanged-traded funds (ETFs) designed from intra-day trading when he knew customers' investment objections were growth and income as opposed to speculative day trading. [read post]
30 Mar 2012, 3:57 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 Boca Raton, Florida. [read post]
30 Mar 2012, 3:48 pm
Subsidiary Ceres Managed Futures LLC, the funds’ manager, had placed assets with outside trading advisers. [read post]
29 Mar 2012, 6:22 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]
27 Mar 2012, 8:13 pm
FINRA says that Citigroup Inc. subsidiary Citi International Financial Services LLC must pay over $1.2M in restitution, fines, and interest over alleged excessive markdowns and markups on agency and corporate bond transactions and supervisory violations. [read post]
27 Mar 2012, 5:35 am
[JURIST] The US Supreme Court [official website] ruled [opinion, PDF] unanimously Monday in Credit Suisse Securities LLC v. [read post]
26 Mar 2012, 1:38 pm
Credit Suisse Securities (USA) LLC, 638 F.3d 1072 (9th Cir. 2011). [read post]
26 Mar 2012, 7:12 am
Daniel of Goldman owned $300,000 of shares in Kinder Morgan Management LLC, a publicly-traded entity related to Kinder Morgan, a person familiar with the matter said. [read post]
26 Mar 2012, 2:00 am
The investigation is also examining communications between other high-frequency trading firms and Direct Edge Holdings LLC, a company that runs computer-driven exchanges. [read post]
23 Mar 2012, 10:36 am
Beatport, LLC, No. 10-cv-02912-RBJ-KMT, 2012 WL 872574 (D. [read post]
21 Mar 2012, 9:56 am
Epstein, of SorinRoyerCooper LLC, said Morgan Stanley’s attempt to claw back $33 million was “meritless. [read post]
21 Mar 2012, 7:52 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]
20 Mar 2012, 11:48 am
Mazzola, the Commission sued Frank Mazzola and two of his firms, Felix Investments LLC, and Facie Libre Management Associates LLC, for making false statements to investors. [read post]
20 Mar 2012, 8:40 am
MercExchange LLC, 547 U.S. 388 (2006), and Winter v. [read post]
19 Mar 2012, 1:33 pm
According to the SEC, Argyll Investments LLC’s purported stock-collateralized loan business is merely a... [read post]
17 Mar 2012, 4:17 pm
Meantime, in a related securities fraud lawsuit filed in civil court, the SEC accused Frank Mazzola and his financial firms Facie Libre Management Associates, LLC and Felix Investments of making secret commissions and taking part in improper self-dealing. [read post]
16 Mar 2012, 9:44 am
Daruna, LLC., D2011 -1887 (WIPO February 2, 2012). [read post]
15 Mar 2012, 7:10 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]
14 Mar 2012, 7:57 am
bit.ly/zpfcer (Elkan Abramowitz, Barry Bohrer) Reports and Resources Classified National Security Information Program for State, Local, Tribal and Private Sector (PDF) 1.usa.gov/yzxOby (Homeland Security) comScore Releases February 2012 U.S. [read post]
14 Mar 2012, 7:24 am
If you have concerns regarding losses suffered as a consequence of your broker-dealer or investment adviser’s recommendations, please contact the securities attorneys at the White Law Group, LLC for a free consultation. [read post]
