Search for: "US Trade and Exchange, LLC"
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31 Jan 2024, 7:04 am
The CFTC also oversees significant sectors of fintech, including the trading of virtual currencies (such as Bitcoin) as well as the use of virtual currencies in derivative contracts. [read post]
29 Jan 2024, 12:00 pm
SEC Charged Morgan Stanley and Exec with Multi-year Fraud January 12, 2024 – Morgan Stanley Settles Block Trading Charges for $249 Million The Securities and Exchange Commission (SEC) filed charges against Morgan Stanley and its former equity syndicate desk head, Pawan Passi, for a multi-year fraud involving the disclosure of confidential information on block trading. [read post]
26 Jan 2024, 8:58 am
Securities and Exchange Commission (SEC) or Commodities Futures Trading Commission (CFTC). [read post]
26 Jan 2024, 8:27 am
Rodriguez’s broker report indicates that he was discharged by Morgan Stanley in 2021 after allegations of “use of client line of credit for his personal benefit. [read post]
25 Jan 2024, 8:35 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
24 Jan 2024, 1:47 pm
Pagartanis, accused of targeting elderly investors, allegedly lied about investing their money, using it for personal expenses and running a Ponzi-like scheme. [read post]
22 Jan 2024, 8:14 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
19 Jan 2024, 7:37 am
When clients requested withdrawals from their purported investment accounts, Starnes reportedly used his personal bank accounts to write checks and transfer funds. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
16 Jan 2024, 6:00 am
Imagine you and your friend trade baseball cards. [read post]
12 Jan 2024, 11:58 am
Block trades are different from regular market trades in that they are not executed on the open market through an exchange but are privately arranged between parties. [read post]
12 Jan 2024, 8:56 am
SEC Chair Gary Gensler said” Morgan Stanley and Passi abused that trust by leaking that same information and using it to position themselves ahead of those trades. [read post]
11 Jan 2024, 8:47 am
Cryptocurrency exchanges work similarly to a securities brokerage firm, giving you the tools to buy, sell or trade cryptocurrencies easily. [read post]
10 Jan 2024, 9:01 pm
Today [January 10], the Commission approved the listing and trading of a number of spot bitcoin exchange-traded product (ETP) shares. [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]
4 Jan 2024, 12:10 pm
”According to FINRA, this matter reportedly originated from an Investor Complaint Form submitted to FINRA referencing Securities and Exchange Commission v. [read post]
2 Jan 2024, 11:26 am
They are cash-settled, resulting in cash payments rather than exchanging securities like index futures. [read post]
2 Jan 2024, 4:55 am
Lipton sought funds from him, and “Cantal was simply a vehicle that [he] used to transfer the funds. [read post]
28 Dec 2023, 9:05 pm
Over 3.7 million patients have used Mifepristone, according to FDA. [read post]
