Search for: "E* Trade Securities LLC"
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20 Jun 2019, 9:19 am
Advisor Craig Sherrer (Sherrer), currently employed by Janney Montgomery Scott LLC (Janney Montgomery) and formerly with Newbridge Securities Corporation (Newbridge Securities) has been subject to at least one customer complaint during the course of his career. [read post]
9 Jun 2008, 1:46 pm
From PlanSponsor.com this morning: The law firm of Stember Feinstein Doyle & Payne, LLC is investigating whether conduct of certain fiduciaries to the Wachovia Savings Plan, the company's 401(k) plan, violated the Employee Retirement Income Security Act of 1974 (ERISA).... [read post]
7 Nov 2021, 7:09 am
SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures (SEC Release)CFTC Orders United States Commodity Funds LLC to Pay $2.5 Million for Failure to Fully Disclose Information Relating to Trading Limitations to Commodity Pool Participants (CFTC Release)Ukrainian Arrested and Charged with Ransomware Attack on Kaseya / Justice Department Seizes $6.1 million Related to Alleged Ransomware Extortionists (DOJ Release)Court Orders… [read post]
7 Nov 2021, 7:09 am
SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures (SEC Release)CFTC Orders United States Commodity Funds LLC to Pay $2.5 Million for Failure to Fully Disclose Information Relating to Trading Limitations to Commodity Pool Participants (CFTC Release)Ukrainian Arrested and Charged with Ransomware Attack on Kaseya / Justice Department Seizes $6.1 million Related to Alleged Ransomware Extortionists (DOJ Release)Court Orders… [read post]
13 Dec 2014, 11:15 am
The White Law Group, LLC is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
13 Dec 2014, 11:13 am
The White Law Group, LLC is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
10 Jul 2023, 6:47 am
Shvartsman, June 30, 2023).The defendants and their alleged violations are:Bruce Garelick, Michael Shvartsman, Gerald Shvartsman, and Rocket One Capital LLC (SEC charges only) for illegal trading in the securities of SPAC Digital World Acquisition (DWAC) in connection with its agreement to purchase Trump Media;Jordan Meadow and Steven Teixeira for illegal trading in the securities of numerous issuers with information stolen from a New York investment… [read post]
21 Aug 2020, 1:01 pm
LLC Censured & Fined $250,000 appeared first on The White Law Group. [read post]
20 Jan 2009, 3:25 am
., a firm with a dual focus on computer hardware technology and health care technology, recently filed suit against UBS AG, UBS Financial Services and UBS Securities LLC (“UBS”) for allegedly fraudulently inducing Hutchinson to purchase millions of dollars in auction rate securities (ARS). [read post]
2 Apr 2013, 6:58 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
1 Sep 2022, 11:21 am
In the latest SPAC-related federal court securities class action lawsuit to be filed, a plaintiff shareholder has filed a securities suit against a building management technology company – which merged with a SPAC in 2021 — that recently restated its financial statements for the reporting periods after the company became publicly traded. [read post]
12 Mar 2015, 12:33 pm
Department of the Treasury Troubled Asset Relief Program (TARP), millions of dollars.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
9 Sep 2020, 6:06 am
Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. [read post]
8 May 2020, 9:47 am
Grizelle Perez USCA Securities LLC Sanders Morris Harris LLC Michael Spyrka Hold Brothers Capital LLC Koyote Trading LLC Jason Wilk Worden Capital Management LLC Craft Capital Management LLC John Wyshak Raymond James & Associates, Inc. [read post]
21 Apr 2017, 5:04 am
On April 20, 2017, President Trump announced a new trade investigation of steel imports under section 232 to determine if tariffs should be imposed because increased steel imports pose a threat to national security. [read post]
1 Dec 2021, 7:55 am
“SEC Sanctions Ex-Cozen O’Connor Conflict Counsel for Insider Trading” — “A former Cozen O’Connor lawyer has agreed to pay more than $20,000 to settle charges by the nation’s top securities enforcer that he misappropriated client information to enrich his personal earnings, while serving as the Am Law 100 firm’s conflicts counsel. [read post]
7 Sep 2017, 8:18 am
State Street used false trading statements, pre-trade estimates, and post-trade reports to misrepresent its compensation on various transactions, especially purchases and sales of bonds and other securities that trade outside large transparent markets. [read post]
1 Jul 2024, 11:12 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
28 Nov 2017, 6:38 am
Previous registrations include Global Strategic Investments, LLC (09/2011 – 07/2013), Statetrust Investments Inc. (08/2009 – 08/2011), Allstate Financial Services, LLC (04/2008 – 08/2009), Wachovia Securities, LLC (10/2000 – 08/2006), First Union Brokerage Services, Inc. (02/2000 – 10/2000), Citicorp Investment Services (03/1996 – 07/1999), Waterhouse Securities, Inc. (06/1995 – 03/1996), GKN Securities… [read post]
30 May 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined LPL Financial LLC $950,000 for supervisory deficiencies related to the sales of alternative investment products, including non-traded real estate investment trusts (REITs), oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through investments. [read post]
