Search for: "E* Trade Securities LLC"
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18 May 2021, 3:43 am
According to publicly available records filed with the SEC, both Triad Advisors LLC and Orchard Securities, LLC likely received sales compensation for selling the GPB funds to retail investors. [read post]
27 Apr 2022, 7:57 am
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 Seattle, Washington. [read post]
25 Apr 2022, 1:39 pm
On January 11, 2021, VIH announced its plan to complete a business combination with Bakkt Holdings LLC (Legacy Bakkt), a digital asset trading platform. [read post]
17 Jun 2016, 4:43 pm
The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange. [read post]
26 Oct 2016, 7:51 am
Lebel was a broker and former representative of registered broker-dealer and investment advisor, LPL Financial LLC (“LPL”). [read post]
27 Oct 2021, 8:16 am
Pimental engaged in unsuitable investment advice, unauthorized trading, and churning of the customer’s accounts. [read post]
10 Apr 2023, 2:56 am
A Trap for the Unwary LLC Member? [read post]
13 Apr 2020, 12:45 pm
Investors looking to sell non-traded REITs often have difficulty finding a buyer, and can suffer significant losses on the sale. [read post]
30 May 2008, 4:25 pm
District Court for the Southern District of New York on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
18 Oct 2012, 10:03 pm
Meantime, eBX LLC, a dark pool operator, must pay $800,000 to settle Securities and Exchange Commission allegations that it did not keep subscribers’ information confidential. eBX LLC runs an alternative trading system LeveL ATS. [read post]
12 Mar 2010, 9:51 am
Alabama Attorney General's Office and Alabama Securities Commission filed a complaint against Keith Anderson Nelms for violation of the Deceptive Trade Practices Act. [read post]
26 Sep 2018, 2:39 pm
Stein criticized the Commission for limiting the disclosure requirements to platforms trading NMS stocks, calling for a “minimum set of rules” for all ATSs, including those trading over-the-counter equity securities, government securities, municipal securities, and corporate debt securities. [read post]
26 Sep 2018, 2:39 pm
Stein criticized the Commission for limiting the disclosure requirements to platforms trading NMS stocks, calling for a “minimum set of rules” for all ATSs, including those trading over-the-counter equity securities, government securities, municipal securities, and corporate debt securities. [read post]
1 Oct 2018, 6:35 am
Former Sandlapper Securities, LLC (Sandlapper) and Independent Financial Group, LLC (Independent Financial) broker Kyusun “Kenny” Kim (Kim) has been subject to at least 23 customer complaints and one regulatory action. [read post]
1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
18 Aug 2010, 6:00 am
By contrast, corporations, or at least large Delaware corporations, benefit from standardization apart from law compliance: they are traded in a public securities market, where variations cause information costs that would be reflected in securities prices. [read post]
8 Apr 2015, 11:31 am
For many years I have warned about so-called Standby Letters of Credit, Bank Guarantees, and Trading Platform scams. [read post]
21 Jun 2012, 1:51 pm
The SEC claims that he lured investors into investing in his firm White Elephant Trading Company LLC by making misleading and false guarantees, and not revealing his eccentric trading strategies. [read post]
