Search for: "E* Trade Securities LLC"
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24 Jul 2020, 9:13 am
Our attorneys and staff have decades of experience as regulators and in the private securities sector. [read post]
6 Aug 2014, 8:07 am
Thereafter, Levy became associated with IFS Securities and currently with Titus Rockefeller, LLC. [read post]
20 Aug 2011, 10:41 pm
Charges include conspiracy to commit securities fraud and to obstruct a Securities and Exchange Commission probe. [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]
5 Oct 2023, 11:54 am
Unsalan engaged in trade with these sanctioned individuals and entities to procure steelmaking equipment and raw material despite knowing that Kurchenko and his companies were subject to U.S. sanctions that prohibited Unsalan from doing business with them. [read post]
27 Aug 2012, 7:35 am
Among those convicted was Raj Rajaratnam, a fund manager for Galleon Group LLC, who was found guilty by a jury last year of 14 counts of conspiracy and securities fraud and sentenced to 11 years in prison. [read post]
20 Nov 2014, 1:22 pm
But to prove the existence of a trade secret, you must show how the information derives value from being secret and rigorous security measures. [read post]
12 Sep 2014, 7:00 am
In August 2014, the Federal Trade Commission (“FTC”) approved final orders resolving its actions against Fandango, LLC (“Fandango”) and Credit Karma, Inc. [read post]
13 Nov 2019, 5:48 am
The customer, who sought damage of $131,700 alleged that the trading in the account was unsuitable and that some trades were unauthorized. [read post]
13 Nov 2019, 5:48 am
The customer, who sought damage of $131,700 alleged that the trading in the account was unsuitable and that some trades were unauthorized. [read post]
2 Nov 2012, 7:08 am
Dawn Wiley was associated with Wells Fargo Advisors, LLC and its predecessor Wachovia Securities LLC from 2000 until her termination on January 3, 2012. [read post]
14 Aug 2014, 5:00 am
Credit Suisse Securities, LLC, 752 F.3d 82 (1st Cir. 2014) (fraud on the market); Mass. [read post]
8 Feb 2008, 2:11 pm
As with most business forms, members of an LLC have a statutory right to review the books and records of the LLC. [read post]
28 Apr 2020, 8:26 am
Boost Treadmills LLC, 338 F.Supp.3d 1133 (N.D. [read post]
18 Jul 2017, 7:38 am
By Rebecca Kahn, J.D.The SEC issued a proposed amendment to Securities Act Rule 146 to designate certain securities on Investors Exchange LLC (IEX) as covered securities. [read post]
6 May 2015, 6:47 am
Industries, LLC (VWI) without first receiving written approval from his member firm. [read post]
20 Aug 2021, 2:28 pm
Hajra executed nine unauthorized trades with a total principal value of $526,966 in his deceased customer’s account. [read post]
22 Oct 2018, 3:37 pm
Silver Law Group has filed a FINRA arbitration claim against Portfolio Advisors Alliance, LLC after its brokers excessively traded (churned) the Claimant’s account. [read post]
28 Jul 2015, 7:01 am
While Welhouse had an average positive return of 6.28%, his clients were not as lucky with the average loss of 5.05%.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
20 May 2022, 8:25 am
The White Law Group, LLC is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
