Search for: "E* Trade Securities LLC"
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4 Apr 2018, 7:11 am
----Sallah Astarita & Cox, LLC represents financial professionals across the country in registration, compliance and arbitration matters. [read post]
17 Jan 2018, 1:55 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
FORMER PORTFOLIO MANAGER AT HEDGE FUND INVESTMENT ADVISOR DIAMONDBACK CAPITAL MANAGEMENT SUED BY SEC
1 Sep 2011, 5:55 am
Enforcement attorneys at the Securities and Exchange Commission (“SEC”) filed a civil action against a former portfolio manager at the hedge fund investment adviser Diamondback Capital Management, LLC. [read post]
20 Apr 2022, 12:42 pm
Previous employers include Maxim Group LLC (CRD#:120708) of New York, NY, Pruco Securities, LLC. [read post]
1 May 2018, 9:14 am
Lionshare Ventures LLC and Christopher Esposito charged in Fraudulent Scheme According to the Securities and Exchange Commission, on April 30, 2018, the U.S. [read post]
19 Apr 2007, 12:22 am
The court reversed a ruling made against the Securities and Exchange Commission (SEC) for its enforcement action against two promoters and their company, Merchant Capital LLC. [read post]
26 Oct 2011, 9:26 pm
Gupta, who was a former Proctor and Gamble and Goldman Sachs director, is accused of multiple counts of securities fraud and one count of conspiracy to commit securities fraud. [read post]
20 Apr 2018, 3:58 am
The post $550K Verdict in New Hampshire Trade Secret Theft Case Sends Powerful Message appeared first on HR Daily Advisor. [read post]
20 Apr 2018, 3:58 am
The post $550K Verdict in New Hampshire Trade Secret Theft Case Sends Powerful Message appeared first on HR Daily Advisor. [read post]
8 Aug 2022, 4:02 am
UBS Securities, LLC, UBS AG, Defendants/Appelants/Cross-Appellees (2Cir Opinion)Weymouth Man Pleads Guilty to Market Manipulation Conspiracy / Defendant conspired with manipulative stock traders in China and United States (DOJ Release)Los Angeles Man Pleads Guilty to Insider Trading Conspiracy (DOJ Release)CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets (CFTC Release)Digital Signatures / FINRA Reminds Firms of Their Obligation to Supervise for… [read post]
12 Sep 2019, 1:06 am
In the Matter of the Arbitration Between Credit Suisse Securities (USA) LLC, Claimant, v. [read post]
6 Nov 2020, 2:07 pm
” In InteliClear, LLC v. [read post]
21 Nov 2022, 9:02 am
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
28 Nov 2022, 9:02 am
Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. [read post]
11 Apr 2017, 9:02 am
” Following Adams Arms, LLC v. [read post]
24 May 2018, 8:09 am
(Apuro) d/b/a ApuroFX and JCI Holdings USA (JCI) d/b/a JCI Trading Group, LLC, with off-exchange retail foreign currency (forex) fraud and failure to register as a Commodity Trading Advisor and Associated Person of a Commodity Trading Advisor. [read post]
12 Jan 2024, 5:30 am
LLC and the former head of its equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of confidential information about…Read the Full Press Release Have a securities law question? [read post]
9 Oct 2013, 7:00 am
Turner & Company, LLC. [read post]
12 Jul 2021, 2:48 pm
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. [read post]
10 Feb 2014, 4:56 am
In furtherance of his scheme, Persaud formed and controlled the White Elephant Trading Company LLC. [read post]
