Search for: "US Trade and Exchange, LLC"
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18 May 2017, 6:54 am
The downside to these bankruptcy protections however is that they can provide protections for fraudsters, who use these transactions to trade funds out of a fraudulent entity, and then file for bankruptcy protection. [read post]
15 Mar 2007, 10:46 am
When nearly $ 2 Million was lost in more than 40 accounts at brokerage firms including Charles Schwab, E*Trade, Fidelity, Merrill Lynch, Scottrade, TD Ameritrade and Vanguard, the Securities and Exchange Commission came quickly to their rescue! [read post]
4 Apr 2021, 12:00 pm
Unauthorized trading is a type of investment fraud because the Securities Exchange Commission (SEC) has found that disclosures of trades being made are essential and material to an investor. [read post]
17 Feb 2009, 11:15 am
Dunlap Jr & Associates LLC stated that, "My phone has been ringing off the hook since the announcement of the SEC's action. [read post]
20 Jun 2023, 5:21 am
” Ooki DAO continued to operate as bZeroX, LLC did, but the CTC alleged it failed to register with the CFTC as required by the Commodity Exchange Act (CEA) for most exchanges that allow commodity derivative transactions. [read post]
12 Nov 2008, 12:58 am
When you accepted a structured settlement you agreed to release the defendant in exchange for the right to receive a series of payments over time (in lieu of receiving a lump sum of cash) the total of which may far exceed the lump sum payment being used to fund them. [read post]
16 Mar 2020, 8:45 am
NON-TRADITIONAL EXCHANGE TRADED FUNDS (ETFs)What are Non-Traditional Exchange Traded Funds (ETFs)? [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
9 Jul 2009, 12:39 pm
When trading in those stocks was suspended by the London Stock Exchange in 2006, the investments were rendered worthless. [read post]
21 Jul 2014, 4:30 am
Regal Assets, LLC, 2014 WL 3516252, No. [read post]
29 Dec 2020, 8:12 am
Contact us today and let us know how we can help. [read post]
11 Apr 2014, 3:11 pm
For instance, we recently commented regarding FINRA's announcement on February 24, 2014 of a $775,000 fine for Berthel Fisher & Company Financial Services, Inc. and its subsidiary for failure to supervise brokers on recommendations and sales of alternative investments such as non-traded real estate investment trusts (REITs) and leveraged and inverse exchange-traded funds (ETFs). [read post]
12 Aug 2009, 4:00 am
Madoff Investment Securities LLC. [read post]
2 May 2022, 4:09 am
., Serial No. 90002396 [Section 2(d) refusal of FLEXA CAPACITY for "Providing electronic processing of collateralized cryptocurrency payments via a secure global computer network; collateralized cryptocurrency exchange services," in view of the registered mark CAPACITY for, inter alia, "electronic payment, namely, electronic processing and transmission of bill payment data" and "exchange services in the nature of execution, clearing, reconciling and… [read post]
8 Feb 2010, 7:16 pm
The following blog update is being provided in response to recent inquiries from blog readers seeking information regarding the ongoing investigation by the Alcala Law Firm on behalf of IMH Secured Loan Fund, LLC investors: On January 15, 2010, Investors Holdings Mortgages, Inc. filed an amended Form S-4 with the Securities Exchange Commission (SEC) seeking member approval to restructure the company into a newly formed Delaware corporation named IMH Financial Corporation with the… [read post]
24 Jun 2020, 6:32 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
25 Sep 2020, 9:50 am
Securities and Exchange Commission (SEC) issued two press releases announcing charges in connection with three fraudulent ICOs. [read post]
14 Feb 2020, 8:25 am
The post SEC: Look Out for Coronavirus-Related Investment Scams appeared first on Zamansky LLC. [read post]
7 May 2021, 9:14 am
The publicly registered non-traded real estate investment trust (REIT) disclosed in a recent filing with the US Securities and Exchange Commission (SEC) that since December 2020 the latter has been looking into certain reimbursements made to Legendary Capital REIT III, LLC, as well as at disclosures involving reimbursement procedures and policies. [read post]
19 Dec 2006, 12:30 am
In exchange for waiving the sponsorship fee, the patentee agreed to provide kiosks at the trade show for other members to use. [read post]
