Search for: "E* Trade Securities LLC"
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16 Feb 2012, 6:00 am
” The commenter also requested that the Commission review the current standards of the PHLX with respect to the listing and trading of securities to determine whether the current listing standards of PHLX are substantially similar to standards of Named Market. [read post]
15 Feb 2012, 12:37 pm
FMR LLC, No. 10-2240, 2012 U.S. [read post]
15 Feb 2012, 12:24 pm
FMR LLC, No. 10-2240, 2012 U.S. [read post]
14 Feb 2012, 12:39 pm
Whitman, the head portfolio manager at Whitman Capital, LLC, related to alleged insider trading. [read post]
13 Feb 2012, 9:44 am
Whitman, the head portfolio manager at Whitman Capital, LLC, related to alleged insider trading. [read post]
12 Feb 2012, 5:46 am
According to court documents and court proceedings, on or about December 2007, Martin formed Queen Shoals Consultants, LLC (QSC) in North Carolina. [read post]
10 Feb 2012, 1:25 pm
Naturally, their securities are traded on the secondary markets. [read post]
10 Feb 2012, 11:59 am
Co. around the same time IRS issued levies on ten clients of Eagle Security, Inc. [read post]
10 Feb 2012, 5:45 am
At the same time, the department filed a proposed settlement of the lawsuit that would preserve competition in the United States by requiring Deutsche Börse to direct its subsidiary, International Securities Exchange Holdings Inc., to sell its 31.5 percent stake in Direct Edge Holdings LLC, the fourth largest stock exchange operator in the United States, and agree to other restrictions. [read post]
9 Feb 2012, 10:28 am
Report the theft to the Federal Trade Commission (FTC). [read post]
9 Feb 2012, 9:00 am
The Complaint alleged that Peregrine failed to supervise four of Peregrine’s Guaranteed Introducing Brokers (GIBs): Clash Financial, LLC, Oxford Trading Group, Inc., California Capital Trading Group, LLC, and Patriot Financial Markets, LLC. [read post]
8 Feb 2012, 2:20 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]
8 Feb 2012, 9:35 am
FMR LLC, 724 F. [read post]
8 Feb 2012, 2:00 am
“While the Lawson court held that [the relevant section] of Sarbanes Oxley does not protect whistleblowers employed by private agents or contractors of publicly-traded companies, those employees are protected from retaliation under the Commission’s Dodd-Frank whistleblower regulations when they report to the Commission what they reasonably believe are violations of the securities laws,” Nester wrote. [read post]
7 Feb 2012, 9:28 am
FMR LLC, No. 10-2240, The panel stated that it interpreted the statute differently and reversed the district court's decision. [read post]
7 Feb 2012, 8:42 am
NFA takes action against CPO/CTAThe NFA took an emergency enforcement action against Crabapple Capital Group LLC and its principal, Robert Allen Christy. [read post]
6 Feb 2012, 10:56 am
The White Law Group, LLC is a securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
6 Feb 2012, 4:30 am
Forget LLC or PC. [read post]
4 Feb 2012, 2:40 am
© 2011 Simple Justice NY LLC. [read post]
2 Feb 2012, 5:28 am
The Securities and Exchange Commission (SEC) has filed a proposed settlement, subject to court approval, for insider trading violations against seven fund managers and analysts along with two multi-billion dollar hedge fund advisory firms, Diamondback Capital Management LLC and Level Global Investors LP. [read post]
