Search for: "E* Trade Securities LLC"
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11 Nov 2011, 3:48 pm
Less than a month after UBS Securities, LLC agreed to pay $12M to settle Financial Industry Regulatory Authority claims of supervisory failures and violating regulation SHO in securities short sales, the broker-dealer has now consented to an $8M penalty to settle Securities and Exchange Commission charges over poor recordkeeping related to the short sales. [read post]
11 Nov 2011, 10:03 am
The conduct violated FINRA Rule 2010 concerning standards of commercial honor and principles of trade as well as National Association of Securities Dealers, or NASD, Rule 2440 on fair prices and commissions. [read post]
11 Nov 2011, 1:20 am
Hicks (“Hicks”) and Locust Offshore Management, LLC (“LOM”). [read post]
10 Nov 2011, 5:10 am
According the nasaa.org, The North American Securities Administrators Association (NASAA) announced recently “that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008. [read post]
7 Nov 2011, 6:30 am
Additionally, the supplemental order requires the following six relief defendants to disgorge more than $23.3 million in ill-gotten gains recieved as a result of the defendants’ fraudulent conduct: Secure Wealth Fund, LLC; Heritage Growth Fund, LLC; Dominion Growth Fund, LLC; Two Oaks Fund, LLC; Dynasty Growth Fund, LLC; and Queen Shoals Group, LLC. [read post]
7 Nov 2011, 4:48 am
According to FINRA, the bank’s UBS Securities LLC broker-dealer unit allowed short-sale orders to be mislabeled or filled without checking to see if the sellers could even produce the underlying securities. [read post]
5 Nov 2011, 7:26 pm
Banco Espirito Santo To Pay Nearly $7 Mln To Settle SEC Charges, The Wall Street Journal, October 24, 2011 Portugese Bank Agrees to $7M Settlement With SEC Over Alleged Registration Breaches, BNA Broker-Dealer Compliance Report More Blog Posts: President Obama Supports Senate Bill Raising SEC Registration Exemption to $50M, Institutional Investor Securities Blog, September 16, 2011 Dodd-Frank Reforms Will Lower Deficit by $3.2B Over the Next Decade, Estimates… [read post]
5 Nov 2011, 11:17 am
The additional accounting costs of doing business as an S corporation, instead of as a sole proprietor, LLC, or partnership are very small. [read post]
5 Nov 2011, 5:30 am
Photo: lawyersection.com Business Defamation is a post from Absolute Legal Services, LLC. [read post]
5 Nov 2011, 5:22 am
© 2011 Simple Justice NY LLC. [read post]
4 Nov 2011, 10:48 am
UBS Securities LLC was fined $12 million and censured by the Financial Industry Regulatory Authority, or FINRA, for widespread system deficiencies and a failure to supervise that led to tens of millions of improper short sales. [read post]
3 Nov 2011, 11:46 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Securities LLC $12 million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
3 Nov 2011, 8:21 am
Search the Internet and check public records and trade group memberships. [read post]
2 Nov 2011, 4:51 am
http://bit.ly/u2sFT0 (The American Lawyer) Law Firm Technology Survey 2011: Spending and Saving - http://bit.ly/uIR35m (The American Lawyer) Privacy and Security in Implementation of Health Information Technology: US/EU Compared (PDF) http://bit.ly/sIFy4Y (B.U. [read post]
1 Nov 2011, 7:44 am
Bout had made the transition from a legal arms-dealing trade to other business opportunities, like real estate, and the defense lawyer seemed to blame the fiasco on Mr. [read post]
31 Oct 2011, 12:36 pm
The broker dealer of equity, derivatives, commodities, and foreign exchange belongs to over 70 financial exchanges and was one of the main dealers allowed to trade US government securities with the New York Fed. [read post]
26 Oct 2011, 8:46 am
Language Services Associates, LLC, 2011 WL 5024281 (N.D. [read post]
25 Oct 2011, 9:51 am
Yet the case of Provident Royalties LLC shows that private placements may have crept beyond their traditional borders. [read post]
25 Oct 2011, 6:05 am
Attorneys will need to have some form of secure client portal and access to virtual delivery. [read post]
24 Oct 2011, 12:49 pm
The SEC settled charges that Pipeline Trading Systems LLC and two of its top executives failed to disclose to customers of Pipeline’s “dark pool” trading platform that the vast majority of orders were filled by a trading operation affiliated with... [read post]
