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18 Oct 2012, 10:03 pm
Meantime, eBX LLC, a dark pool operator, must pay $800,000 to settle Securities and Exchange Commission allegations that it did not keep subscribers’ information confidential. eBX LLC runs an alternative trading system LeveL ATS. [read post]
29 Aug 2012, 12:10 pm
Whitman, who is a Whitman Capital LLC portfolio manager, was charged with using insider trading tips to trade in Marvell Technology Group Ltd. [read post]
10 Aug 2016, 12:19 pm
Non-traded REITs are high-risk, illiquid investments. [read post]
15 Jan 2014, 2:24 pm
Private placements are not publicly traded investments. [read post]
25 Sep 2023, 5:15 am
By Suzanne CosgroveThe CFTC has disapproved KalshiEX LLC’s Congressional Control Contracts, prohibiting their listing, trading and clearing on its platform. [read post]
31 May 2021, 1:11 pm
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
CFTC and SEC May Need to Work Out Key Differences Related to Over-the-Counter Derivatives Rulemaking
31 Jan 2012, 5:48 pm
In their efforts to move forward with rulemaking for over-the-counter derivatives, some are saying that the Commodities Futures Trading Commission and the Securities and Exchange Commission may find themselves grappling with differences that could pose a challenge for industry participants. [read post]
18 Dec 2019, 5:57 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
17 Jun 2024, 3:16 pm
Commodity Futures Trading Commission (CFTC) announced that Trafigura Holding LLC agreed to pay $55 million to settle allegations of fraud, market manipulation, and impeding the ability of employees to blow the whistle. [read post]
21 Sep 2016, 7:42 am
In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors. [read post]
25 Apr 2012, 10:25 am
Beatport, LLC, 2012 WL 872574 (D. [read post]
27 Jan 2016, 2:52 pm
The new areas of focus will include liquidity controls, public pension advisers, product promotion, and two popular investment products – exchange-traded funds (ETFs) and variable annuities. [read post]
29 Jul 2022, 5:39 pm
While margin trading used to be the domain of Wall Street, investment apps have opened up margin trading to retail investors across the United States. [read post]
2 Oct 2017, 4:50 pm
The SEC’s disclosure that its EDGAR system had been had hacked was big news last week, as was the accompanying disclosure that the information accessed may have been used for improper trading. [read post]
2 Jul 2018, 2:03 pm
Speak with an Investment Fraud Attorney at Zamansky, LLC At Zamansky, LLC, we are a team of experienced attorneys who exclusively represent individual investors in securities litigation and FINRA arbitration. [read post]
18 Mar 2013, 9:16 am
TNP Strategic Retail Trust, Inc is a non-traded REIT sponsored by Thompson National Properties, LLC and launched in 2008. [read post]
21 May 2018, 10:07 am
The post FINRA Announces “Significant” Changes Impacting Brokers and Investors appeared first on Zamansky LLC. [read post]
9 Dec 2009, 8:00 am
Pirate Investor, LLC, 2009 WL 2949091 (4th Cir., Sept. 15, 2009), the SEC filed suit against Pirate Investor, LLC ("Pirate"), alleging the publisher made fraudulent misrepresentations violating §10(b) of the 1934 Securities Exchange Act. [read post]
17 Apr 2023, 9:52 am
For a free consultation with a securities attorney, please call us at 1-888-637-5510. [read post]
2 Mar 2011, 12:47 pm
The use of wiretaps permitted the government to build a case based on contemporaneous evidence of the exchange of inside information, rather than relying solely on traditional after-the-fact evidence such as trading patterns and witness statements. [read post]
