Search for: "US Trade and Exchange, LLC"
Results 681 - 700
of 1,698
Sorted by Relevance
|
Sort by Date
3 Mar 2017, 9:43 am
Neo@Ogilvy LLC. [read post]
30 Dec 2015, 8:34 am
Certain commonly used measures and ratios used to determine churning help evaluate a churning claim. [read post]
18 Aug 2016, 8:18 am
However he purportedly used the money to obtain cashier’s checks which he used to deposit into his own personal account. [read post]
1 Mar 2016, 3:14 am
for various marketing and advertising services].March 1, 2016 - 9:20 AM [University of Missouri School of Law, Columbia, Missouri]: In re Chicago Mercantile Exchange Inc., Serial No. 77199918 [Refusal to register CHI for "Investment services, namely, providing futures, options contracts related to hurricanes for trading on an exchange" on the ground that applicant's specimen of use fails to show trademark use].March 4, 2016 - 11:20 AM… [read post]
27 Jul 2021, 9:38 am
The book values for Capstead and BSP Realty Trust used to calculate the cash consideration and exchange ratio will reportedly be set at a later date. [read post]
21 Apr 2019, 10:14 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
13 Oct 2011, 7:58 pm
Some of the investors’ funds that went into the Ponzi scam were also allegedly used to buy Interlink-US-Network, Ltd., which was a publicly traded company. [read post]
16 Sep 2014, 7:15 am
FINRA alleged that Diaz recommended the annuity exchanges without having an understanding of the features of the new product and used the same three invalid justifications for nearly all of these exchanges. [read post]
11 Jul 2011, 10:59 am
Both customers received fabricated statements showing returns on their investment, even though the funds went to cover CIS’s operating costs and Ward’s personal expenses.The CFTC claims that in March 2007, Ward joined with Timberlake to use TransGlobal as CIS’s commodity trading partner. [read post]
29 Jul 2011, 9:27 am
Naranjo used money for airline tickets, house payments, and a Mercedes-Benz, among other things. [read post]
16 Jun 2010, 9:50 am
Some experts believe that the crash was caused or exacerbated by complex computer algorithms used by high-frequency trading firms. [read post]
15 Feb 2018, 10:29 am
Margin Requirements Margin trading is regulated by The Federal Reserve Board, FINRA, and securities exchanges, including the New York Stock Exchange (NYSE). [read post]
31 Jul 2018, 2:29 pm
Capital Advisors, LLC (“SAC”). [read post]
31 Jul 2018, 2:29 pm
Capital Advisors, LLC (“SAC”). [read post]
24 May 2012, 6:51 am
Most of the trading volume now on the largest domestic trading exchanges is in the form of electronic trading or more precisely in the equity markets, it is in high frequency trading. [read post]
16 Aug 2018, 5:48 pm
Shepherd Smith Edwards and Kantas, LLP represents investors throughout the US. [read post]
13 Nov 2023, 1:01 pm
The attorneys specializing in FINRA arbitration at The White Law Group have successfully managed more than 700 FINRA arbitration claims, addressing issues such as unauthorized trading, unsuitable investments, fraud, negligence, churning/excessive trading, and improper use of margin. [read post]
30 Dec 2010, 2:17 am
The Complainant in Tower Research Capital, LLC, managing member of Limestone Trading, LLC v. [read post]
20 Jun 2011, 4:47 am
.), the United States Supreme Court held that purposes of a securities fraud claim under Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
