Search for: "E* Trade Securities LLC"
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29 Jul 2007, 8:14 pm
" Then again, I'm not an editor by trade. [read post]
28 Jul 2007, 8:50 am
LLC on Appeal. [read post]
26 Jul 2007, 11:18 am
Greater Washington Board of Trade, 506 U.S. 125, 136-37 (1992) ("both the legislative history of [the statute] and prior holdings by this Court") (dissenting opinion opposing preemption).Gade v. [read post]
12 Jul 2007, 8:29 am
Pangea3 LLC, the global leader in legal process outsourcing to corporate in-house counsel and U.S. law firms, announced today that it has closed $7 million in Series C funding, funded by Sequoia Capital India. [read post]
11 Jul 2007, 12:33 pm
This orthodox investment company test defines issuers that hold themselves out, or otherwise are clearly recognizable, as investment companies.The second test is whether the issuer is engaged in the business of investing, reinvesting, owning, holding, or trading in securities and owns investment securities the value of which exceeds 40% of its total assets. [read post]
11 Jul 2007, 5:49 am
Are LLCs not used in these start-up situations? [read post]
28 Jun 2007, 10:30 am
Wachovia Securities LLC of Richmond, Virginia says that it will pay $2 million in restitution to settle charges that it did not properly supervise its fee-based brokerage business from 2001 to 2004. [read post]
22 Jun 2007, 11:41 am
Shepherd Smith and Edwards is a securities law firm which represents investors nationwide in claims against investment firms. [read post]
11 Jun 2007, 8:21 am
The Securities and Exchange Commission says that it will not grant Sky Capital LLC's request that the agency review the NASD's action against the firm. [read post]
5 Jun 2007, 12:31 am
DiBella and consulting firm North Cove Ventures LLC liable for aiding and abetting a fraudulent investment scam. [read post]
4 Jun 2007, 1:08 am
COURT OF APPEALS, SECOND CIRCUITConstitutional LawPanel Upholds Ban of Protests Within West Point; Cheney's Presence Did Not Turn Base Into Public Forum International Securities Exchange LLC v. [read post]
1 Jun 2007, 2:30 pm
(In re Nat'l Gas Distributors, LLC), 2007 WL 1531616 (Bankr. [read post]
Attempt to Limit Goods in Cited Registration Goes Nowhere; "GO-FOR" Applicant Loses TTAB 2(d) Appeal
29 May 2007, 6:16 pm
"Applicant next asserted that Registrant's goods are targeted to "security personnel or police officers" and not the marine industry. [read post]
22 May 2007, 12:19 am
The commission says that Naseem also told Rahim about upcoming deals with nine other issuers and that Rahim traded in these issuers' securities at least 25 times within minutes of getting the information from Naseem. [read post]
21 May 2007, 10:01 am
It was the creators (the Encyclopedists) who would learn from the process of creation and cataloging, and who would emerge as the leaders of a new more democratic galactic empire ruled by trade, law, and science. [read post]
4 May 2007, 9:28 am
Geoffrey Brod, a former Aeltus Investment Management LLC portfolio manager has been charged by the SEC with concealing personal stock trades held by mutual funds that he was overseeing. [read post]
24 Apr 2007, 3:40 pm
Prudential Equity Group, LLC The SEC charged four former Prudential Securities Inc. representatives with illegal market timing involving over 25 mutual funds. [read post]
19 Apr 2007, 12:22 am
The court reversed a ruling made against the Securities and Exchange Commission (SEC) for its enforcement action against two promoters and their company, Merchant Capital LLC. [read post]
17 Apr 2007, 1:18 am
"A spokesman for Genzyme declined to comment on the case, citing the terms of the settlement.The dispute between the two companies started when three employees at Bone Care International left to start Preventive Therapeutics LLC. [read post]
11 Apr 2007, 1:10 am
Devoe Properties LLC KINGS COUNTYLandlord/Tenant LawTenant Denied Restoration; Waived Right to Contest Period of Landlord's Registration Noncompliance A.G. [read post]
