Search for: "E TRADE SECURITIES LLC"
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11 Apr 2014, 7:41 am
Justice Roberts and the majority cite the circumstances in Commodity Futures Trading Commission v. [read post]
4 Apr 2014, 5:40 am
Chapter 13 is not available to partnerships (although individual partners may file), corporations or LLCs that operate businesses. [read post]
3 Apr 2014, 6:07 am
Rockwell Global Capital LLC (Rockwell) brokers Robert E. [read post]
20 Mar 2014, 9:54 am
Christian IRA, Richard E. [read post]
18 Mar 2014, 1:12 pm
Aninat Schwencke & Cia is one of the most prestigious full-service law firms in Chile, with extensive international experience in corporate and M&A; litigation; antitrust and competition; arbitration and ADR; banking and finance; bankruptcy, insolvency and restructuration; capital markets and securities; construction; consumer rights; contracts and civil responsibility; estates and trusts; foreign investment; government contracts and procurement; international trade and… [read post]
18 Mar 2014, 6:01 am
Brunhaver (Brunhaver) formerly of LPL Financial, LLC (LPL) concerning allegations Brunhaver used an unauthorized e-mail account for communications related to his securities business and committed securities fraud in making oral and written misrepresentations to customers regarding a non-traded REIT. [read post]
14 Feb 2014, 12:00 pm
American United Life Insurance Company 13-455Issue: Whether Section 546(e) of the Bankruptcy Code eliminates the statutory power to avoid payments related to a securities transaction when a financial institution acts as a mere conduit for the transferred property, as the Second, Third, Sixth, and Eighth Circuits have held, or whether the financial institution must have a beneficial interest in the transferred property, as the Eleventh Circuit has held. [read post]
4 Feb 2014, 11:23 am
[TTABlogged here].In re Waves Licensing, LLC, Appeal No. 14-1202 (Serial No. 85437501, September 30, 2013) [Section 2(d) refusal to register the mark SFG for "providing financial intermediation services to institutional investors with respect to securities and other financial instruments and products, namely, brokerage in the field of securities, trading of and investments in securities and financial instruments and products; financial exchange;… [read post]
4 Feb 2014, 6:15 am
Thereafter, Burstein became licensed as a registered representative of at least 15 other brokerage firms including Aura Financial Services, Inc., Pointe Capital, LLC, Legend Securities, Inc., and R.M. [read post]
24 Jan 2014, 12:57 am
In many jurisdictions, corporate officials sued for their actions undertaken in their corporate capacity may be able to defend themselves in reliance on the “business judgment rule. [read post]
24 Jan 2014, 12:57 am
In many jurisdictions, corporate officials sued for their actions undertaken in their corporate capacity may be able to defend themselves in reliance on the “business judgment rule. [read post]
16 Jan 2014, 12:38 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
15 Jan 2014, 8:22 am
District Court Judges added a section on e-discovery. [read post]
14 Jan 2014, 9:48 am
Beatport, LLC, No. 10-2912 (D. [read post]
2 Jan 2014, 9:15 am
: 3-15587 Case filed: October 24, 2013 Qualifying judgment/order: October 24, 2013 11/21/2013 02/19/2014 2013-103 In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. [read post]
15 Nov 2013, 5:24 pm
In this order (summary below), the SEC permits the manager to receive fees based on the facts of situation: An order has been issued on an application filed by Davidson Kempner Capital Management LLC (“DKCM”) under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) thereunder. [read post]
14 Nov 2013, 1:04 pm
., Jack E. [read post]
23 Oct 2013, 12:56 pm
Edmund E. [read post]
13 Oct 2013, 5:30 am
(Faulkner Literary Rights, LLC v. [read post]
26 Sep 2013, 6:05 am
”17 The circuit court also explained that the difference between “actual knowledge” in § 512(c)(1)(A)(i) and the so-called red flags knowledge of § 512(c)(1)(A)(ii) is that of a subjective versus objective standard.18 Whereas the actual knowledge standard turns on what the defendant subjectively knew, the red flag provision hinges on whether the provider was subjectively aware of facts that would have made the specific infringement obvious to a reasonable person.19 The… [read post]