Search for: "E* Trade Securities LLC"
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4 Apr 2012, 1:01 am
In its complaint, the CFTC claims the Toronto-based lender made misleading and false statements about “wash trades” between 2007 and 2010, which allowed affiliates to trade between themselves in a manner that undermined competition and price discovery on the OneChicago LLC exchange. [read post]
17 Jul 2018, 9:33 am
The SEC also charged the two friends with trading on the illicit tips, which reaped them substantial profits.Former Equifax Manager Charged With Insider TradingA former Equifax manager has been charged with insider trading in advance of the company’s September 2017 announcement of a massive data breach that exposed Social Security numbers and other personal information of approximately 148 million U.S. customers. [read post]
10 Jan 2008, 3:52 pm
FINRA fined the firms after it compared the firms' advertised trade volume with the firms' executed trade volume found substantial overstatements for each firm in one or more of the securities reviewed. [read post]
20 Mar 2018, 12:03 pm
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 Vero Beach, Florida. [read post]
3 Aug 2023, 11:22 am
The fund ultimately lost millions of dollars through speculative trading and other investments. [read post]
28 Mar 2017, 6:55 am
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. [read post]
18 Dec 2007, 10:44 pm
New York Stock Regulation Inc. announced its enforcement actions against four trading companies. [read post]
25 Feb 2023, 7:33 am
VAS Aero Servs., LLC v. [read post]
16 Apr 2018, 6:54 am
Last month, the Securities and Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings against Valor Capital Asset Management, LLC, a registered investment adviser, and its owner, Robert Mark Magee. [read post]
24 Jun 2020, 1:00 pm
SEC Reportedly Sanctions SG Americas for Deficient Blue Sheet Data According to a press announcement on June 24, 2020, the Securities and Exchange Commission settled charges against broker-dealer SG Americas Securities LLC for allegedly failing to provide complete and accurate securities trading information known as “blue sheet data. [read post]
6 Apr 2018, 10:41 am
Later that month, Sanchez brought suit against Terra for misappropriation of trade secrets, alleging that after leaving the company, Hobbs and Mewshaw stole various electronic data involving processes to drill oil wells and to secure cost savings from vendors. [read post]
24 Oct 2018, 12:55 pm
According to court documents filed in connection to the pleas, brokers at European-affiliated, TFS-ICAP Limited and TFS-ICAP LLC, showed fake trades in Latin American FX options to traders in New York to create the false impression of liquidity in the market and therefore, encourage them to trade. [read post]
28 Jan 2012, 9:59 pm
The SEC is accusing First Resource Group LLC and its founder David H. [read post]
30 Aug 2021, 11:18 am
Morgan Securities LLC acted as placement agents for Cellebrite and TWC Tech Holdings. [read post]
6 Jan 2021, 2:00 am
Smash Franchise Partners, LLC v. [read post]
8 Dec 2016, 12:07 pm
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
5 Jun 2012, 1:22 pm
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 Boca Raton, Florida. [read post]
5 Jun 2012, 1:22 pm
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 Boca Raton, Florida. [read post]
5 Jun 2012, 1:22 pm
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 Boca Raton, Florida. [read post]
16 Oct 2014, 9:59 am
Potomac River Group, LLC just announced the completion of a reverse merger with View Systems, Inc. an OTC-traded company. [read post]
