Search for: "E* Trade Securities LLC"
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28 Aug 2008, 5:49 pm
" Buying shares in an IPO can be particularly risky for investors because the company has no history of the kind of rigorous financial reporting required by the Securities and Exchange Commission, and because the stock has no trading history from which its potential volatility can be measured. [read post]
18 Feb 2016, 5:53 am
Our firm represents securities investors in claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]
22 Jan 2016, 10:44 am
If they are commonly traded securities you might put them into your brokerage account for simplicity! [read post]
17 Nov 2022, 1:14 pm
By the same token, the SEC’s action during the fiscal year against Allianz Global Investors US LLC, in which the agency alleged a fraudulent scheme to conceal risks involved in a complex trading strategy, resulted in an SEC order for Allianz to pay a total of $1.024 billion (of which $675 million represented a civil penalty). [read post]
2 Sep 2018, 9:09 am
The public corporation’s shares may be traded and the corporation may file public disclosure documents. [read post]
12 Feb 2020, 10:00 am
Similar circumstances have played out at the Commodity Futures Trading Commission, the Federal Energy Regulatory Commission and the Securities and Exchange Commission, as unfilled positions forced the agencies to push off addressing any difficult, politically fraught issues until the full complement of commissioners had been seated. [read post]
26 Feb 2010, 3:00 am
(Docket Report) District Court E D Texas: Sanctions ruling from Chief Judge Folsom - $100,000 for failure to timely disclose a crucial document: ESN, LLC v. [read post]
26 Feb 2010, 3:00 am
(Docket Report) District Court E D Texas: Sanctions ruling from Chief Judge Folsom - $100,000 for failure to timely disclose a crucial document: ESN, LLC v. [read post]
8 Sep 2016, 7:40 am
__________ ToNorges Bank5 April 2016Recommendation to exclude Duke Energy Corp., Duke Energy Carolinas LLC, Duke Energy Progress LLC and Progress Energy Inc. from the Government Pension Fund Global (GPFG) Confidential pursuant to section 13 subsection 1 of the Freedom of Information Act, cf section 3-4 subsection 1 of the Securities Trading Act.Summary The Council on Ethics for the Government… [read post]
12 Mar 2018, 12:42 am
After the 2011 SEC CF Guidance, however, publicly traded companies were more compelled to acknowledge cyber-attacks and other data security incidents to regulators and explain the measures they plannned to take to close their cyber-security gaps. [read post]
23 Dec 2016, 1:00 am
Eisenberg, K&L Gates LLP, on Monday, December 19, 2016 Tags: Accounting, Asset management, Broker-dealers, Conflicts of interest, Disclosure, Dodd-Frank Act, FCPA, Fiduciary duties, Hedge funds, Insider trading, Investment advisers, Private equity, SEC, SEC enforcement, Securities enforcement A New Administration: Change and Continuity in Securities Regulation Posted by William McLucas & Harry Weiss, Wilmer Cutler Pickering… [read post]
16 Dec 2017, 12:00 am
Medina, an estate planning and elder law attorney and Certified Financial Planner™. [read post]
1 Aug 2012, 8:05 am
Circuit Court of Appeals 10-10038 and International Airport Centers LLC v Jacob Citrin in the 7th U.S. [read post]
4 Nov 2009, 7:59 am
These comments can be found here. **** Brian Fitzgibbon - CEO of Fitzgibbon Toigo & CO., LLC Without placement agent assistance, some of the best fund managers may never get to market. [read post]
13 Sep 2019, 8:00 am
Department of Homeland Security v. [read post]
13 Jan 2022, 8:50 am
Securities and Exchange Commission (SEC) while an SEC proceeding was ongoing. [read post]
11 Jul 2007, 5:49 am
Are LLCs not used in these start-up situations? [read post]
8 Sep 2023, 12:51 pm
Between May 2019 and December 2019, Hoffman allegedly advised clients to invest in Zima Global Ventures, LLC, a company claiming to trade cryptocurrencies and digital assets for profit. [read post]
30 Jun 2022, 7:05 am
In June 2021, the SEC fined Guggenheim Securities, LLC for maintaining a policy that it contended impeded potential whistleblowers from communicating with the SEC by requiring employees to obtain permission before reporting securities violations. [read post]
18 Jun 2021, 8:16 am
The small businesses, which include New York-based 803 Kava LLC and Shen Shu Acupuncture, Wisconsin-based Camp Grounds Coffee LLC, and an independent Michigan hairdresser, accuse Visa and Mastercard of structural conspiracies to keep these fees high. . . . [read post]
