Search for: "Interactive Brokers LLC"
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25 Jul 2022, 5:01 am
Justice Department Cases Against Epsilon, Macromark, and KBM In 2020 and 2021, three data brokers—Epsilon LLC, Macromark Inc., and KBM—all faced legal punishment for supplying lists of individuals who were elderly and vulnerable to scammers. [read post]
7 Jan 2014, 10:07 am
According to the Missouri Order, in July 2012, a Missouri Resident (“MR”) opened an account with Interactive Brokers LLC, a Missouri registered broker-dealer, through J. [read post]
4 Jul 2022, 7:46 pm
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts (BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
31 Aug 2012, 6:37 am
Rodman & Renshaw, LLC is a New York-based broker-dealer subsidiary of Direct Markets Holdings Corp., which provides investment banking services, including Private Investments in Public Entities (PIPEs) and registered direct offerings, to public and private companies. [read post]
31 Aug 2012, 6:37 am
Rodman & Renshaw, LLC is a New York-based broker-dealer subsidiary of Direct Markets Holdings Corp., which provides investment banking services, including Private Investments in Public Entities (PIPEs) and registered direct offerings, to public and private companies. [read post]
31 Aug 2012, 6:37 am
Rodman & Renshaw, LLC is a New York-based broker-dealer subsidiary of Direct Markets Holdings Corp., which provides investment banking services, including Private Investments in Public Entities (PIPEs) and registered direct offerings, to public and private companies. [read post]
1 Sep 2017, 6:49 am
PARKER, Appellants,v.INTERACTIVE BROKERS LLC, Appellee. [read post]
14 Feb 2016, 12:56 pm
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
12 Nov 2015, 6:29 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
31 May 2017, 6:08 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
14 Jun 2017, 7:52 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
13 May 2017, 8:36 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Babyak (Babyak), formerly associated with brokerage firms LPL Financial LLC (LPL) and Leigh Baldwin & Co., LLC (Leigh Baldwin). [read post]
24 Apr 2019, 5:15 am
IBG LLC, Interactive Brokers LLC (2018-1063), the Federal Circuit agreed with the Patent Trial and Appeal Board (PTAB) that the contested claims of Trading Technologies International, Inc’s patents for graphical user interfaces (GUI) for electronic trading, numbers 7,533,056, 7,212,999, and 7,904,374, were eligible for covered business method (CBM) review and also patent ineligible. [read post]
18 Dec 2018, 11:20 am
Interactive Brokers LLC, affirming the invalidation of patent claims owned by Chart Trading in covered business method (CBM) proceedings instituted at the Patent Trial and Appeal Board (PTAB). [read post]
10 Nov 2015, 5:45 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
22 Feb 2016, 7:04 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
12 Feb 2016, 10:15 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
Arkansas Sanctions Financial Advisors Raymond Adcock and Charles Ferrill Over Talon Securities Sales
22 Nov 2016, 6:49 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
15 Mar 2015, 5:46 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
13 Jun 2016, 6:41 am
In order to properly supervise their brokers each firm is required to have procedures in order to monitor the activities of each advisor’s activities and interaction with the public. [read post]
