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18 May 2020, 6:32 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
3 Nov 2023, 6:55 am
By Suzanne CosgroveKalshiEX LLC, a regulated designated contract market that offers event contracts, sued the Commodity Futures Trading Commission in federal court Wednesday, challenging the Commission’s September 2023 order that prohibits Kalshi from listing its controversial Congressional Control Contracts (KalshiEX LLC v. [read post]
2 Nov 2023, 6:36 am
Contact us today at (800) 975-4345 and let us know how we can help. [read post]
3 Sep 2008, 10:00 am
Emerging IP Transaction Exchanges/Trading Platforms - plans have been announced to create traded exchanges (whether physical or online locations) similar to the NYSE and NASDAQ where yet-to-be created IP-based financial instruments would be listed and traded much like stocks are today. [read post]
5 Nov 2011, 7:26 pm
The SEC says that by acting as an unregistered investment adviser and broker-dealer BES violated sections of the Exchange Act and the Advisers Act. [read post]
8 Aug 2012, 1:36 pm
International Trade Alliance (ITA), another company controlled by Hunter, used the $150,000 from Hunter’s first client to trade foreign currencies over the course of the year. [read post]
5 Oct 2017, 7:24 am
According to the SEC’s complaint, Tweed allegedly concealed the losses by issuing phony account statements that made the fund, which used a quantitative stock trading strategy, appear profitable. [read post]
17 Jan 2019, 8:35 am
Exchange traded funds (ETF) can be a suitable tool in an investor’s toolbox, but, if used improperly, an ETF can come with expensive commissions or high risk. [read post]
25 Apr 2016, 3:17 am
Although set up as a distinct legal entity, the LLC operationally functioned as a division of ALC which provided essential back-office and financial support in exchange for receiving 15% of the LLC’s commission income. [read post]
25 Apr 2016, 3:17 am
Although set up as a distinct legal entity, the LLC operationally functioned as a division of ALC which provided essential back-office and financial support in exchange for receiving 15% of the LLC’s commission income. [read post]
30 Mar 2020, 6:36 am
The ETRACS Monthly Pay 2xLeveraged US High Dividend Low Volatility ETN Series B (NYSE: HDLB) is an Exchange Traded Note linked to the monthly compounded 2x leveraged performance of the Solactive US High Dividend Low Volatility Index, less investor fees. [read post]
31 Dec 2018, 7:54 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
22 May 2010, 3:55 pm
FINRA claims that the two investment firms used Direct Market Access order sytems to facilitate client execution of short sales and that they violated the Reg SHO “locate” requirement, which the Securities and Exchange Commission adopted in 2004 to discourage “naked” short selling. [read post]
9 Feb 2015, 6:50 am
American Heritage stock trades over the counter on OTC Link, LLC under the symbol “AHII. [read post]
8 Sep 2020, 7:30 am
Fried illustrated his point using Alibaba as an example: Fried stated, “there’s a ‘good chance’ shares of China’s tech giant Alibaba, for example, will stop trading after three years if the bill becomes law. [read post]
26 Oct 2009, 2:22 pm
Securities and Exchange Commission continue their probes? [read post]
7 Jun 2019, 8:34 am
It is also what gives us purpose and helps us grow as a person. [read post]
3 Aug 2009, 8:12 am
For further information, please contact us. [read post]
8 Aug 2023, 9:31 am
Separately, the Commodity Futures Trading Commission announced settlements with Wells Fargo Bank NA, Wells Fargo Securities, LLC, BNP Paribas Securities Corp., BNP Paribas S.A., SG Americas Securities, LLC, Société Générale S.A., Bank of Montreal, and Wedbush Securities Inc., for related conduct. [read post]
29 Apr 2022, 1:43 pm
Medley Management and Former Executives to reportedly Pay $10 Million Fine for Misleading Clients and Investors According to a press announcement on April 28, 2022, the Securities and Exchange Commission reportedly charged publicly-traded asset manager Medley Management and its former co-CEOs with making misrepresentations to investors and clients about the company’s future growth. [read post]
