Search for: "E*Trade Securities LLC"
Results 541 - 560
of 798
Sort by Relevance
|
Sort by Date
15 Dec 2011, 6:47 pm
Handler, Thayer & Duggan, LLC, 613 F. [read post]
12 Dec 2011, 8:00 am
DeverAmicus brief of Thomas More Law CenterAmicus brief of Justice and Freedom FundAmicus brief of Arizona State LegislaturePetitioner's reply Match-E-Be-Nash-She-Wish Band of Pottawatomi Indians v. [read post]
8 Dec 2011, 2:54 pm
PhoneDog LLC v. [read post]
8 Dec 2011, 11:54 am
PhoneDog LLC v. [read post]
5 Dec 2011, 12:53 pm
Sections 15(b)(4)(E) and 15(b)(6)(A) of the Exchange Act authorize the Securities and Exchange Commission, or SEC, andnbsp;to sanction a firm or any person who fails to reasonably supervise someone subject to the supervision of that firm who violates federal securities laws. [read post]
1 Dec 2011, 1:58 pm
Harris is counsel to Woodside, California, investment management firm Aurum STS Aggressive Trading LLC. [read post]
30 Nov 2011, 2:00 am
Adviser Sanctioned for Filing False Information on Form ADV and Failing to Disclose to Clients Its Precarious Financial Condition LPB Capital d/b/a Family Office Group, LLC and Gary G. [read post]
22 Nov 2011, 11:02 am
Chamber of Commerce in support of respondentAmicus brief of Pharmaceutical Research and Manufacturers of America in support of respondent (forthcoming)Brief for respondent RadLAX Gateway Hotel, LLC v. [read post]
10 Nov 2011, 5:10 am
According the nasaa.org, The North American Securities Administrators Association (NASAA) announced recently “that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008. [read post]
3 Nov 2011, 8:21 am
Search the Internet and check public records and trade group memberships. [read post]
2 Nov 2011, 4:51 am
& TECH) New York State Bar Association Releases Practitioner’s Guide to E-Discovery – http://bit.ly/rxua3G (New York State Bar Association) Source Consulting Group LLC Releases Results of 2011 Finance Operations Survey of Law Firms – http://bit.ly/tq7BOb (Business Wire) Technology and Tactics 5 Cloud Lessons Learned From Finance Industry Gurus – http://bit.ly/vcnln6 (Charles Babcock) A Review of Cloud Lessons Learned - http://bit.ly/vnocCZ (Mary… [read post]
1 Nov 2011, 7:44 am
Its evidence consisted of surreptitiously recorded phone calls and meetings, e-mails and records obtained during searches of Smulian and Bout's computers. [read post]
25 Oct 2011, 9:51 am
Proposed Rule 5123(e) would explain how to apply for an exemption from the rule provisions for good cause. [read post]
23 Oct 2011, 9:03 am
NASAA recently announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS)... [read post]
16 Oct 2011, 6:42 pm
CHADWICK E. [read post]
28 Sep 2011, 5:15 am
(Your Secrets Are Safe Here) - http://bit.ly/rgPGAS (Ralph Losey) When You Know, You Know: Cache La Poudre Feeds LLC v. [read post]
27 Sep 2011, 2:05 am
Your description must be more detailed for products or services that do not qualify for the safe harbor in section 28(e) of the Securities Exchange Act of 1934, such as those services that do not aid in investment decision-making or trade execution. [read post]
21 Sep 2011, 6:36 am
The Court’s decision in AT&T Mobility LLC v. [read post]
14 Sep 2011, 9:12 am
., employment contracting, antitrust and trade regulation, privacy law, international trade, consumer protection, healthcare, taxation, securities regulations, etc., and thereby require a legal framework with new and different rules and norms to account for its unique aspects. [read post]
9 Sep 2011, 2:12 pm
[and] We should have no more regulation than the health, safety and security of the American people require. [read post]
