Search for: "US Trade and Exchange, LLC"
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28 Jan 2009, 9:40 am
Bayou Group LLC. [read post]
9 Oct 2012, 3:53 pm
A few days later, Australia and New Zealand Banking Group Ltd. agreed to pay $350K over allegations that they violated cotton and wheat futures speculative position limits when trading on the Intercontinental Exchange US and the Chicago Board of Trade. [read post]
17 Jul 2024, 12:08 pm
Nessim is co-founder and CEO of the data analytics firm SAR LLC. [read post]
26 Jul 2018, 11:41 am
The Securities and Exchange Commission (SEC) filed a complaint alleging that Oregon-based investment firm Aequitas Management, LLC (Aequitas Management) and its subsidiaries operated a Ponzi-like scheme that defrauded its 1,500 customers of approximately $350 million. [read post]
17 Aug 2020, 10:47 am
Securities and Exchange Commission (SEC) has recently issued two warnings about investment fraud scams targeting individual investors. [read post]
5 Nov 2011, 7:27 am
Beginning in at least 2008, Kim operated Liquid Capital Management, LLC ("Liquid Capital"), which purported to trade commodity futures. [read post]
5 Jun 2013, 1:41 pm
They conducted tests using 40,000 orders, but almost 500,000 orders were waiting when the Nasdaq opened trading in Facebook stock. [read post]
21 May 2021, 10:23 am
Three broker-dealers—Citadel Securities LLC, Natixis Securities Americas LLC, and MUFG Securities Americas Inc. [read post]
8 Jan 2024, 12:42 pm
This week, the Federal Trade Commission (FTC) announced a Proposed Stipulated Order with lead generator Response Tree LLC and its president, resolving allegations that the company violated the Telemarketing Sales Rule (TSR) and Section 5 of the FTC Act. [read post]
10 Jun 2013, 10:04 am
The allegations brought forth by the Securities and Exchange Commission (SEC) accuse DMP and Morrow of making material misrepresentations and omissions to investors. [read post]
19 Jul 2022, 9:01 pm
One notable crypto-exchange platform, Genesis Trading, announced that it too had suffered losses due to 3AC’s bankruptcy, but managed to mitigate its losses with its parent company, Digital Currency Group, assuming certain liabilities related to 3AC.[16] On July 13, 2022, Celsius Network, a crypto lending platform, also filed for Chapter 11 bankruptcy protection in New York.[17] Other crypto exchanges have announced they have hired restructuring advisors… [read post]
31 Dec 2012, 3:29 pm
Morgan), Facebook (Lown Companies, LLC v. [read post]
10 Sep 2019, 1:56 pm
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
12 Sep 2019, 8:47 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
19 Dec 2012, 11:45 am
Louis-based Fiduciary Asset Management LLC (FAMCO), agreed to settle the SEC’s charges. [read post]
20 Dec 2010, 10:32 am
Firms that use expert networks — and other paid research consultants — should carefully evaluate the use of these services and make sure they have in place the appropriate safeguards to prevent the misuse of material nonpublic information. [read post]
22 May 2014, 10:51 am
(USA) LLC, No. 12-1750, 2014 U.S. [read post]
17 Dec 2021, 3:48 pm
To schedule a free and confidential consultation with an attorney at Zamansky LLC, call us at 212-742-1414 or request an appointment online now. [read post]
24 Jul 2020, 9:13 am
A firm registered representative recommended that senior customers purchase risky oil and gas limited partnerships and oil and gas exchange traded funds which caused them to become concentrated in these products. [read post]
22 Sep 2019, 10:09 am
The SEC found that Smith instead made very few investments in these trading strategies and largely used investors’ money to repay other investors and for her own personal investments. [read post]
