Search for: "E* Trade Securities LLC"
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23 Nov 2011, 6:32 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]
30 Jun 2015, 8:44 am
We have decades of experience in securities litigation matters, including SEC and FINRA investigations, insider trading cases, securities arbitrations and class actions, nationwide. [read post]
17 Feb 2009, 10:57 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
15 Jan 2019, 8:06 am
Previous employment includes Alexander Capital, L.P. from March 2012 to August 2014, WTS Proprietary trading Group LLC from December 2011 to June 2012, Gunnallen Financial, Inc. form July 2002 to March 2010, Investprivate, Inc. from June 2001 to July 2002, Josephthal & Co., Inc. from July 1998 to May 2001, JW Charles Securities, Inc. from May 1997 to August 1997, Whale Securities Co., L.P. from September 1996 to May 1997 and State Capital… [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
3 Feb 2021, 6:19 pm
With a new administration and a new Congress come key leadership changes and new priorities at the Federal Trade Commission (FTC). [read post]
17 May 2019, 11:32 am
Texas security regulators reported that Mintage Mining LLC has agreed to pay the penalties and restitution. [read post]
30 Sep 2024, 1:29 pm
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others. [read post]
16 Dec 2021, 10:30 am
most non-traded REITS are structured as a “finite life investment,” meaning that at the end of a given timeframe, the REIT is required either to list on a national securities exchange or liquidate. [read post]
7 Oct 2013, 4:34 pm
From May 2006 until July 2010, Kelly was registered Wells Fargo Advisors, LLC. [read post]
21 Dec 2020, 3:28 pm
Share Tweet Share Share Tweet ShareThe Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to…Read the Full Press ReleaseHave a securities law question? [read post]
21 Dec 2020, 6:07 pm
Share Tweet Share Share Tweet Share Share Tweet ShareThe Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to…Read the Full Press ReleaseHave a securities law question? [read post]
21 Dec 2020, 6:02 pm
Share Tweet Share Share Tweet Share Share Tweet ShareThe Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to…Read the Full Press ReleaseHave a securities law question? [read post]
22 Jan 2021, 8:30 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. [read post]
21 Nov 2022, 5:31 am
Morgan Securities LLC since 2009, and that he was terminated by J.P. [read post]
18 Oct 2023, 2:55 pm
The reach and scope of the federal securities laws is a concern most obviously relevant to publicly traded companies. [read post]
23 Apr 2021, 3:54 am
Wells Fargo Advisors Financial Network, LLC, Respondent (FINRA Arbitration Award)FINRA Arbitrator Recommends Expungement After Citing Improper E-Mail Trade OrderIn the Matter of the Arbitration Between Patrick Peterson, Claimant v. [read post]
23 Feb 2009, 12:16 pm
Epiq claimed that it faced inevitable disclosure of its trade secrets by three individual defendants formerly employed at Epiq and their new employer Kurtzman Carson Consultants LLC (“KCC”) with respect to three computer programs, including one web-based system, developed and used by Epiq to solicit ballots and tabulate ballot results in Chapter 11 bankruptcy proceedings, and in analogous foreign proceedings, involving… [read post]
21 Jun 2012, 1:09 pm
According to the SEC, between July 2007 and January 2010, Persaud persuaded at least 14 investors to invest more than $1 million in his firm White Elephant Trading Company LLC. [read post]
13 Oct 2021, 10:35 am
The White Law Group Announces Opening Office in Seattle, Washington The White Law Group, LLC, a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm, is excited to announce it recently opened a second office on Elliot Avenue in Seattle, Washington. [read post]
