Search for: "E* Trade Securities LLC"
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28 Sep 2011, 3:11 pm
Parexel International LLC, ARB No. 07-123, ALJ Nos. 2007-SOX-39 and 42 (ARB May 25, 2011)). [read post]
28 Sep 2011, 5:15 am
(Your Secrets Are Safe Here) - http://bit.ly/rgPGAS (Ralph Losey) When You Know, You Know: Cache La Poudre Feeds LLC v. [read post]
27 Sep 2011, 7:56 am
Rajaratnam, co-founder of Galleon Group LLC, was convicted on May 14 of conducting the world’s biggest insider-trading scheme. [read post]
27 Sep 2011, 2:05 am
Your description must be more detailed for products or services that do not qualify for the safe harbor in section 28(e) of the Securities Exchange Act of 1934, such as those services that do not aid in investment decision-making or trade execution. [read post]
26 Sep 2011, 5:00 am
Barr Rosenberg Research Center LLC was the registered investment adviser. [read post]
23 Sep 2011, 8:21 am
Creditanswers LLC (S.D. [read post]
22 Sep 2011, 8:30 am
Jiau was convicted in June of one count of conspiracy and one count of securities fraud for selling data regarding detailed financial earnings and other information she obtained through social relationships with sources from the finance departments at publicly traded companies. [read post]
21 Sep 2011, 6:36 am
The Court’s decision in AT&T Mobility LLC v. [read post]
21 Sep 2011, 5:41 am
Convicted: A former executive at expert-networking firm Primary Global Research LLC, James Fleishman, was convicted at trial of helping pass confidential information to fund managers as part of an insider-trading scheme, Bloomberg reports. [read post]
21 Sep 2011, 2:55 am
Congratulations are due to the MARQUES Class 46 European trade mark weblog, which has now notched up its 2,300th email subscriber. [read post]
20 Sep 2011, 4:02 pm
It would also restrict the financial firms’ use of their own money to trade. [read post]
20 Sep 2011, 8:01 am
Image source: www.google.com/imgres Scott Allen, of Atlanta, was charged last week with securities fraud and insider trading in the U.S. [read post]
16 Sep 2011, 7:30 am
The other firms sanctioned include John Thomas Financial of New York; First Midwest Securities, Inc., of Bloomington, Illinois; A&F Financial Securities, Inc., of Syosset, New York; and Salomon Whitney LLC of Babylon Village, New York. [read post]
14 Sep 2011, 9:12 am
E.g., Hoffman, LLC v. [read post]
14 Sep 2011, 7:15 am
LLC, 2011 U.S. [read post]
12 Sep 2011, 7:28 am
John Thomas Financial of New York, or JTF, agreed to a fine of $275,000, First Midwest Securities Inc. of Bloomington, Ill., agreed to pay $150,000, Aandamp;F Financial Securities Inc. of Syosset, N.Y., agreed to a fine of $125,000, and Salomon Whitney LLC, of Babylon Village, N.Y., agreed to pay $60,000. [read post]
12 Sep 2011, 7:23 am
John Thomas Financial of New York, or JTF, agreed to a fine of $275,000, First Midwest Securities Inc. of Bloomington, Ill., agreed to pay $150,000, Aandamp;F Financial Securities Inc. of Syosset, N.Y., agreed to a fine of $125,000, and Salomon Whitney LLC, of Babylon Village, N.Y., agreed to pay $60,000. [read post]
12 Sep 2011, 7:23 am
John Thomas Financial of New York, or JTF, agreed to a fine of $275,000, First Midwest Securities Inc. of Bloomington, Ill., agreed to pay $150,000, Aandamp;F Financial Securities Inc. of Syosset, N.Y., agreed to a fine of $125,000, and Salomon Whitney LLC, of Babylon Village, N.Y., agreed to pay $60,000. [read post]
10 Sep 2011, 3:22 am
© 2011 Simple Justice NY LLC. [read post]
9 Sep 2011, 2:12 pm
[and] We should have no more regulation than the health, safety and security of the American people require. [read post]
