Search for: "E* Trade Securities LLC"
Results 541 - 560
of 5,381
Sorted by Relevance
|
Sort by Date
19 Feb 2010, 12:05 pm
Because they are so unique, however, even those listed on a national exchange are thinly traded. [read post]
19 Feb 2010, 12:05 pm
Because they are so unique, however, even those listed on a national exchange are thinly traded. [read post]
25 Oct 2012, 10:34 am
It involves the plaintiff, Metal Foundations Acquisition, LLC (“MFA”), against the debtor, Gary L. [read post]
9 Jun 2023, 12:54 pm
(CRD#:6694), ST PETERSBURG, FL, B, 02/01/2013 – 07/02/2020, PRUCO SECURITIES, LLC. [read post]
9 May 2024, 9:35 am
This case was investigated by the FBI; General Services Administration, Office of Inspector General; Defense Criminal Investigative Service; Department of Commerce, Bureau of Industry and Security; Air Force Office of Special Investigations; Homeland Security Investigations; and Department of State, Directorate of Defense Trade Controls. [read post]
31 Aug 2022, 7:08 am
In March 2019, a customer complained that Ventruelli violated the securities laws by alleging that Ventruelli engaged in excessive trading and unsuitable investment practices. [read post]
18 Nov 2011, 12:02 pm
The IMH Secured Loan Fund, LLC changed its name to IMH Financial Corporation in 2010. [read post]
18 Aug 2017, 6:44 am
Additionally, FINRA’s findings stated that the firm and a customer exceeded the over-the-counter (OTC) position limit by 25 percent for at least 461 trading dates in options related to one security, and by 40 percent for two trading dates in options related to another security. [read post]
23 Oct 2012, 4:44 pm
Purchasing Power, LLC. [read post]
19 Nov 2008, 3:23 pm
Practice Areas: Real Estate Litigation Business Torts Restrictive Covenants Trade Secrets Litigation Class Actions Securities Litigation Executive Contract Litigation Technology Litigation Employment Law Education Law Environmental Law Contact them now to make an appointment. [read post]
1 May 2015, 9:37 am
Morgan Securities, LLC (J.P. [read post]
22 Sep 2011, 8:30 am
Jiau was convicted in June of one count of conspiracy and one count of securities fraud for selling data regarding detailed financial earnings and other information she obtained through social relationships with sources from the finance departments at publicly traded companies. [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as… [read post]
4 Dec 2014, 5:21 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Essex Securities, LLC (Essex Securities) alleging that from February 2010, through March 2011, Essex Securities through one of its brokers violated industry rules by engaging in a pattern of unsuitable mutual fund switching, a form of churning, in the accounts of seven customers. [read post]
12 Aug 2021, 8:39 am
In a settled enforcement case announced August 9, 2021, the SEC fined Poloniex, LLC, a crypto trading platform, for operating an unregistered securities exchange. [read post]
15 Jan 2008, 8:02 am
The Supreme Court today ruled in favor of securities fraud defendants in Stoneridge Investment Partners, LLC v. [read post]
22 Nov 2011, 11:58 am
Madoff Investment Securities LLC (BMIS) for nearly four decades, was asked by Madoff to provide the firm’s investment advisory operations with backdated arbitrage trade information to be made into fictitious trading on investors’ account statements. [read post]
14 Sep 2023, 2:21 pm
Securities and Exchange Commission (SEC) brought an enforcement action against broker-dealer, Virtu Americas LLC, alleging that it failed to properly guard against information leakage between its institutional trading business and prop trading arm.The SEC charged the firm and its parent company, Virtu Financial Inc., for overstating the controls that were erected to prevent the misuse of sensitive customer data. [read post]
31 Dec 2015, 6:04 am
LinnCO LLC (Ticker Symbol: LNCO) is a Master Limited Partnership (MLP). [read post]
26 Mar 2008, 3:27 pm
Broad Street and clearing broker Pershing LLC had their own agreement between them that allowed Broad Street to ask Pershing to trade securities for Shammami. [read post]
