Search for: "US Trade and Exchange, LLC"
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14 Dec 2011, 10:32 pm
The Jacobsons used the Ponzi scam to cause investors, who were getting “returns,” to think that the LLCs were making a profit. [read post]
21 Oct 2014, 10:17 am
The DOJ’s business review letter also reiterated antitrust guidelines applicable to information exchanges by business organizations such as industry trade associations. [read post]
29 Nov 2011, 6:29 pm
Wegener, of Grand Rapids, faces the criminal charges after previously being charged by the Securities and Exchange Commission in a parallel civil proceeding. [read post]
13 May 2020, 8:24 am
We take most cases on contingency fee, meaning it costs nothing to hire us. [read post]
25 Feb 2010, 8:40 pm
Madoff Investment Securities, LLC (“BLMIS”). [read post]
3 May 2021, 1:54 pm
Investors in REITs can end up losing significant value and being stuck in the investment because REITs are not publicly traded on an exchange. [read post]
12 Jun 2023, 2:08 pm
Rockwell allegedly used the funds that he had obtained from the loans for personal expenses. [read post]
2 Feb 2016, 8:42 am
Wilson and his company JBW Capital solicited over $2 million from 25 family members and acquaintances and used the funds to trade commodity futures. [read post]
10 Mar 2016, 5:25 pm
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
16 Apr 2022, 7:00 am
According to the CFTC, “Mikkelsen falsely promised clients he would use his discretion to trade forex on their behalf. [read post]
25 Dec 2011, 11:01 am
The US Securities and Exchange Commission is suing former NFL football player Will Gault for securities fraud. [read post]
20 Dec 2016, 3:36 am
Buffalo Jakson Trading Co., LLC, Opposition No. 91223331 (December 14, 2016) [not precedential].The parties agreed to invoke the Board's ACR procedure, submitting declaration testimony and supporting evidence. [read post]
Derivative Use by Investment Companies Will be Harder to Oversee in Coming Years, Warns SEC Official
10 May 2011, 10:38 pm
Ervin said that in the coming years, derivative contracts could be traded on swap execution facilities, exchanges, or over the counter and that it will be hard for fund advisers to manage these different venues. [read post]
24 Apr 2024, 12:17 pm
Commodity Futures Trading Commission (CFTC) has contacted a number of major banks requesting non-disclosure agreements used in their swaps and clearing businesses to see whether they restrict whistleblowing, according to reporting by Bloomberg. [read post]
12 Aug 2009, 10:10 am
" In May, the SEC brought its first case alleging insider trading through the use of credit default swaps, making good on its promise to regulate such products, which played a prominent roll in fall of AIG. [read post]
29 Sep 2011, 5:23 am
The charges result from Hovan's alleged fraudulent use of "soft dollars" and his subsequent obstruction of an investigation being conducted by the Securities and Exchange Commission (SEC). [read post]
29 Sep 2011, 5:23 am
The charges result from Hovan's alleged fraudulent use of "soft dollars" and his subsequent obstruction of an investigation being conducted by the Securities and Exchange Commission (SEC). [read post]
27 May 2010, 10:43 am
After Defendant’s contract to perform Internet marketing for Plaintiff expired, Plaintiff alleges, Defendant continued to use Plaintiff’s trademarks to attract customers to Plaintiff’s competitors. [read post]
19 Nov 2013, 5:32 am
While there is no single precise formula for determining when excessive trading has occurred measures such as turnover rate and cost to equity ratio (also known as the breakeven ratio), commission to equity ratio, and the number of days a security is held have been used to evaluate account trading. [read post]
7 Oct 2014, 7:31 am
As part of the company’s plan, LPL will continue to increase its use of technology and automation in the oversight process. [read post]
