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29 Jun 2020, 6:36 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
15 Jul 2024, 11:38 am
These SEC regulations cover a wide range of entities from companies traded on the New York Stock Exchange to privately held LLCs. [read post]
2 Nov 2016, 9:13 am
He was discharged from Bright Trading in August 2016 in light of the investigation by the Chicago Stock Exchange. [read post]
1 Dec 2020, 11:11 am
SEC Fines Royal Alliance Associates November 2020 – The Securities and Exchange Commission (SEC) fined Royal Alliance Associates $500,000 after allegations of widespread losses for advisory clients in connection with unsuitable investments in volatility-linked exchange-traded products (ETPs). [read post]
20 May 2022, 6:44 am
The SEC’s order finds that Wells Fargo Advisors, which is the trade name used by Wells Fargo Clearing Services, LLC, a registered broker-dealer and investment adviser subsidiary of Wells Fargo & Company, violated Section 17(a) of the Securities Exchange Act and Rule 17a-8. [read post]
20 Oct 2023, 8:33 am
Securities and Exchange Commission to challenge a ruling from the D.C. [read post]
19 Apr 2010, 8:08 am
" The SEC complaint alleges that Goldman used marketing materials for Abacus 2007 which falsely represented that the portfolio of mortgage-backed securities which formed the CDO were selected by ACA Management LLC ("ACA"), a firm with experience in analyzing mortgage-backed securities. [read post]
1 Mar 2023, 7:55 am
Sometimes they bought coins that no longer trade. [read post]
4 Oct 2022, 4:08 am
October 5, 2022 - 1 PM: In re Lizzo LLC, Serial Nos. 88466281 and 88466264 [Refusal to register 100% THAT BITCH for musical recordings and entertainment service on the ground that the proposed mark is a widely used phrase that fails to function as a source indicator.] [read post]
11 Dec 2023, 5:39 pm
Public Company Stock The companies traded on US stock exchanges begin as privately held corporations. [read post]
20 Aug 2021, 10:14 am
We often work on a contingency fee basis, meaning you don’t owe us anything unless and until we recover for you. [read post]
20 Mar 2009, 10:35 am
Reyes Holdings LLC 13. [read post]
31 Mar 2020, 6:24 am
UBS ETRACs, which are “Exchange Traded Notes” (ETNs) had been bought recently by Mom and Pop investors for $20 per share ( like stocks) on the NYSE. [read post]
4 Nov 2011, 10:48 am
In a specific example, UBS improperly treated short sales in exchange traded funds, or ETFs, as exceptions to the locate requirement because of incorrectly programmed trading systems. [read post]
7 Nov 2022, 6:37 am
In addition, Mirror Trading was not a registered commodity pool operator. [read post]
4 Aug 2014, 4:13 am
The Latest Scandal-Driven Litigation Against Financial Services Companies: Let’s see … after the financial crisis, we had the Libor scandal, the foreign exchange trading scandal, the high frequency trading scandal and the dark pool trading scandal. [read post]
18 Apr 2024, 12:52 pm
Carbon credits are traded either over-the-counter or on spot exchanges. [read post]
13 Jan 2011, 11:45 pm
(Disclosure: Mark Cuban, majority owner of Sharesleuth.com LLC, has no position in the shares of any of the companies mentioned in this report. [read post]
28 Aug 2023, 9:01 pm
This post comes to us from Davis, Polk & Wardwell LLP. [read post]
26 Sep 2007, 9:53 am
To form a partnership, each partner normally contributes money, valuable property or labor in exchange for a partnership share, which reflects the amount contributed. [read post]
