Search for: "E* Trade Securities LLC"
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9 Jun 2008, 1:46 pm
From PlanSponsor.com this morning: The law firm of Stember Feinstein Doyle & Payne, LLC is investigating whether conduct of certain fiduciaries to the Wachovia Savings Plan, the company's 401(k) plan, violated the Employee Retirement Income Security Act of 1974 (ERISA).... [read post]
4 Jun 2008, 1:49 pm
Other Alternatives Legitimate prosecution of business entities engaging in activities that represent a threat to national security or violate tax, banking, or securities laws is a vital element of the federal government's law enforcement mandate. [read post]
1 Jun 2008, 5:08 pm
Only those with appropriate security clearance (or at least a secret decoder ring) will be able to read the opinion.JDH Capital, LLC v. [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]
30 May 2008, 9:09 am
You can separately subscribe to the IP Thinktank Global week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: WHO members near accord on global strategy on IP and health: (Intellectual Property Watch), (GenericsWeb), (Gowlings), (IAM), Copiepresse seeks up to €49 million from Google in lawsuit over right to feature links to publishers’ content on internet: (IPKat), (Ars Technica), (Techdirt), (Out-Law), (IP Law360) Singapore… [read post]
28 May 2008, 1:53 pm
If you sold student loan ARS at a loss, or have been unable to sell these securities, you may wish to consider your legal options, and Page Perry, LLC is available to assist you in doing so. [read post]
28 May 2008, 8:56 am
" Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
22 May 2008, 10:10 am
E*Trade Securities has been to pay a $500,000 fine. [read post]
20 May 2008, 12:22 pm
According to FINRA's release, Tradestation Securities, Inc. was fined $750,000 for not reporting 23.5 million reportable order events, E*Trade Securities, LLC was fined $500,000 for failing to report new order reports and route reports, and CIBC World Markets Corp. was fined $350,000 for failing to report to OATS over 28 million orders generated by an affiliate. [read post]
20 May 2008, 12:08 pm
I'm interviewing Michael Korn, a financial representative of National Financial Network, LLC in New York City. [read post]
20 May 2008, 9:58 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
15 May 2008, 11:38 am
Former broker-dealer Chanin Capital LLC says it will pay a $75,000 fine to settle Securities and Exchange Commission charges that it failed to set up procedures and policies to prevent employees and others from misusing inside information. [read post]
13 May 2008, 7:54 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
12 May 2008, 8:09 pm
IMF is actually a publicly traded company whose shares trade on the Australian stock exchange. [read post]
9 May 2008, 10:30 pm
You can separately subscribe to the IP Thinktank Global week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: Order to transfer myspace.co.uk to MySpace overturned: (Out-Law), (IMPACT), New branding scheme for Ethiopian coffees: (Afro-IP), (IP finance), (IPKat), USPTO to appeal Tafas/GSK v Dudas: (Patent Docs), (Patently-O), (PLI), (Patent Baristas), (Managing Intellectual Property), (IP Law360), (Patent Prospector), (Ladas & Parry),… [read post]
9 May 2008, 8:02 am
The suit alleges that UBS AG and its subsidiaries UBS Securities and UBS Financial Services violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 by deceiving investors about the investment characteristics of auction rate securities and the auction market in which the securities are traded. [read post]
8 May 2008, 12:31 am
The Quizno's Franchise Co., LLC, 2007-2 Trade Law (CCH) ¶ 75942, (ED Wis. 2007). [read post]
2 May 2008, 7:00 am
: (Afro-IP), UN agency to address link between IP assets and financial securities: (Intellectual Property Watch), ‘Free’ culture: it’s not what ‘we in the west’ might imagine: (IPcentral.info), What’s your intellectual property strategy? [read post]
2 May 2008, 6:14 am
" Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
1 May 2008, 5:41 am
Berliner, a Wall Street trader formerly associated with Schottenfeld Group, LLC, with securities fraud and market manipulation for intentionally disseminating a false rumor concerning The Blackstone Group's acquisition of Alliance Data Systems Corp. [read post]
