Search for: "E* Trade Securities LLC"
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8 Apr 2011, 6:09 am
The SEC was also worried about insider trading in this new private market. [read post]
8 Apr 2011, 5:32 am
MonaVie, LLC v. [read post]
7 Apr 2011, 10:56 pm
According to the SEC, Wachovia Capital Markets LLC, now called Wells Fargo Securities, violated securities law anti-fraud provisions when it sold the complex mortgage-backed securities to investors despite the red flags indicating that there was trouble brewing with the US housing market. [read post]
6 Apr 2011, 5:00 am
Stark focused on the In the Matter of AXA Rosenberg Group LLC, et al. [read post]
31 Mar 2011, 9:04 am
Some of the entities the investors invested in include MRT, LLC; MRT Holdings, LTD; and Maximum Return Transaction, LLC. [read post]
31 Mar 2011, 7:10 am
If possible secure an assignment — not a license — of all of the applicable trademarks, copyrights, patents or trade secrets. [read post]
30 Mar 2011, 11:48 am
Funds investing in highly liquidity securities, such as domestically traded large cap stocks, generally allow their investors to withdraw on a monthly or quarterly basis. [read post]
30 Mar 2011, 7:00 am
In the event the adviser becomes aware of any credit information about a portfolio security or an issuer of a portfolio security that suggests that the security is no longer a first-tier security or a second-tier security, as the case may be, the board (or its delegate) would have to reassess promptly whether the portfolio security continues to present minimal credit risks. [read post]
30 Mar 2011, 4:35 am
Announces Executive Appointments – http://tinyurl.com/4nf9fec (PR Newswire) iConect Expands Sales Consultancy with Jim Steene and Jonathan Wiley - http://tinyurl.com/4l4rgpr (Press Releases) kCura Upgrades Relativity Analytics – http://tinyurl.com/4bdwv5s (Debora Motyka Jones) Kroll Ontrack Supports Range of Virtualized Systems to Meet Complex Data Recovery Demands – http://tinyurl.com/4smjcpe (Business Wire) Levit & James’ Best Authority Now Used by… [read post]
28 Mar 2011, 7:02 pm
Madoff Investment Securities Inc., 08-01789, U.S. [read post]
25 Mar 2011, 1:21 pm
The Fifth Circuit seems to have won a reputation for using “license” to toughen class certification standards, at least in securities law cases.[7] Pleading: How has the Twombly pleading test impacted antitrust class certification cases? [read post]
23 Mar 2011, 8:58 pm
Related Web Resources: SEC Charges Two Hedge-Fund Managers, The Wall Street Journal, March 16, 2011 Read the SEC Complaint (PDF) More Blog Posts: Trueblue Strategies LLC Owner Settles SEC Charges that He Hid Investor Trading Losses in Hedge Fund Case, Institutional Investor Securities Blog, December 18, 2010 3 Hedge Funds Raided by FBI in Insider Trading Case, Stockbroker Fraud Blog, November 3, 2010 [read post]
23 Mar 2011, 1:44 pm
During the trial, he was barred from calling his key witness, a securities expert, to help show that Nacchio’s stock trades weren’t tied to inside information. [read post]
22 Mar 2011, 9:49 am
Shear, LLC. [read post]
22 Mar 2011, 4:28 am
Dave is an attorney and CEO of Concord Specialty Risk, a series of a Delaware limited liability companies owned by RSG Specialty Group, LLC. [read post]
21 Mar 2011, 6:16 pm
CoreLogic is publicly traded with the ticker symbol CLGX. [read post]
21 Mar 2011, 12:34 pm
National securities exchanges have responded with new rules to facilitate new listings for SPACs. [read post]
18 Mar 2011, 3:32 am
© 2011 Simple Justice NY LLC. [read post]
9 Mar 2011, 3:01 pm
On March 8, 2011, the SEC obtained an emergency court order freezing the assets of Jason Bo-Alan Beckman and his registered investment advisory firm Oxford Private Client Group, LLC, for their role in a massive foreign currency trading scheme that... [read post]
9 Mar 2011, 12:29 pm
Madoff Investment Securities LLC (“BLMIS”) was not able to meet its obligations to securities customers as they came due and that its customers needed the protection afforded by the Securities Investor Protection Act (“SIPA”). [read post]
