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9 Jun 2010, 10:46 am
According to the criminal information, the vast majority of the funds were never used to trade off-exchange foreign currency. [read post]
9 Jun 2010, 10:46 am
According to the criminal information, the vast majority of the funds were never used to trade off-exchange foreign currency. [read post]
8 Sep 2014, 6:23 am
The claims against Lewis involve unauthorized trading, which occurs when a broker sells , buys, or exchanges, securities without the prior consent or authority from the investor. [read post]
26 Jun 2023, 10:30 pm
The Federal Trade Commission issues a compulsory order to a third group purchasing organization (GPO) that negotiates drug rebates on behalf of pharmacy benefit managers (PBMs). [read post]
10 Dec 2018, 3:16 pm
John Reed Stark Lost amidst all of the turmoil surrounding the dramatic swings in the value of digital currencies is that the original idea for these digital assets is that they might actually be used as exchange media, in place of traditional currencies. [read post]
19 Sep 2018, 7:19 am
According to the complaint, Romer purportedly used the stolen funds to conduct trading in his own brokerage account, and made Ponzi-like payments to other customers. [read post]
9 Aug 2018, 9:30 pm
Securities and Exchange Commission (SEC) adopted amendments to its regulations of alternative trading systems (ATS)—trading platforms not required to register as “exchanges”—that trade National Market System (NMS) stocks. [read post]
5 Feb 2020, 11:23 am
Mike is co-founder and CEO of HomePath Products LLC. [read post]
2 Feb 2007, 5:04 am
Fife and Clarion Management, LLC, The Complaint (PDF) Lincoln Financial Group [read post]
21 Jan 2021, 3:12 pm
If you have any questions regarding securities regulations and rules, please feel free to give us a call at 314-563-2490.Please follow us on Twitter @CosLawGroup, on LinkedIn at Cosgrove Law Group, LLC, and on Facebook at Cosgrove Law Group, LLC. [read post]
28 Sep 2022, 12:37 pm
LLC and Morgan Stanley Smith Barney LLC; UBS Securities LLC and UBS Financial Services Inc. [read post]
4 Jun 2019, 9:42 am
The Securities and Exchange Commission today sued Kik Interactive Inc. for conducting an illegal $100 million securities offering of digital tokens. [read post]
27 Feb 2023, 6:34 am
They included a lawsuit she filed in January that alleged Alex Mezvinsky, a co-founder of the lending platform Celsius Network LLC, made false and misleading statements about Celsius’s safety to encourage investors to deposit billions of dollars in digital assets onto the platform. [read post]
7 Nov 2012, 1:59 pm
There was also the problem of technical glitches that arose when trading began. [read post]
25 May 2011, 5:00 am
They must, however, mostly consist of independent and a majority must be US Persons. [read post]
17 Feb 2015, 7:05 pm
Here are a few of the more notable global shifts as the US might see them: · China quietly surpassed the US in 2014 as the world’s largest economy (per the IMF) and it has steadily expanded its global trade plus the influence of the yuan via scores of currency ‘swaps’ and bi-lateral trade arrangements with virtually every major country & foreign central bank, plus all major US allies. [read post]
28 May 2019, 1:42 pm
Contact us today and let us know how we can help. [read post]
16 Aug 2023, 8:31 am
Non-traded BDCs: Like REITs, non-traded Business Development Companies do not trade on an exchange, making them more complex and riskier than investments that trade on a public exchange. [read post]
11 May 2015, 4:46 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
1 May 2024, 10:16 pm
December 2023: The Securities and Exchange Commission (SEC) indefinitely barred Andrew Komarow, a former LPL Financial broker, from engaging in financial activities due to a “free-riding” trading scheme. [read post]
