Search for: "E* Trade Securities LLC"
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8 Mar 2012, 8:00 am
In Grace Hunt IT Solutions, LLC v. [read post]
29 Jul 2013, 7:45 am
Publicly traded manufacturers may find themselves caught between competing securities regulations. [read post]
1 Jul 2021, 6:40 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]
15 Oct 2021, 9:54 am
MORGAN SECURITIES LLC (CRD#:79), BROOKLYN, NY09/01/2011 – 10/01/2012, CHASE INVESTMENT SERVICES CORP. [read post]
28 Jun 2011, 7:53 am
Credit Suisse Securities (USA) LLC, No. 09-35262 (9th Cir. [read post]
3 Feb 2014, 6:26 am
Broker Benjamin Cox (Cox) has settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning improper sales of oil and gas private placement offerings sold by Red River Securities LLC (Red River). [read post]
27 Jun 2011, 11:59 am
The Hong Kong High Court of First Instance has ruled that it had no jurisdiction to entertain an action by the Securities and Futures Commission alleging that a hedge fund engaged in insider dealing and false trading in securities since the Securities and Futures Ordinance created a dual regime of civil actions before the Market Misconduct Tribunal or criminal proceedings. [read post]
16 Mar 2018, 2:19 am
Carter was a trader at Blue Guru Trading LLC , which claimed to specialize in trading futures contracts. [read post]
4 Aug 2007, 5:46 pm
The defendants included KL Group LLC, Shoreland Trading LLC, and KL Triangulum Management LLC, U.S. [read post]
12 Jul 2007, 8:29 am
Pangea3 LLC, the global leader in legal process outsourcing to corporate in-house counsel and U.S. law firms, announced today that it has closed $7 million in Series C funding, funded by Sequoia Capital India. [read post]
25 Mar 2018, 5:32 am
SEC Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze (SEC Press Release 2018-46)https://www.sec.gov/news/press-release/2018-46The SEC filed a Complaint in the United States District Court for the Eastern District of New York against Niket Shah and Spark Trading Group LLC alleging that they had defrauded over 15 investors into contributing hundreds of thousands of dollars to two funds that Shah marketed. [read post]
5 Jul 2019, 7:36 am
The US Securities and Exchange Commission (SEC) is accusing Paul Andrews Rinfret, Plandome LLC, and Plandome Partners LP of defrauding investors in a securities offering scam. [read post]
25 Jun 2012, 10:55 am
Beatport LLC et al., Regas Christou sued former employee turned rival nightclub owner, Bradley Roulier, for, amongst other things, theft of trade secrets. [read post]
14 Jun 2021, 7:48 am
Pizzimenti was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation related to improper trading in customer accounts while associated with Worden Capital Management LLC in New York. [read post]
23 Feb 2021, 11:38 am
Worden Capital Management LLC (CRD# 148366), a FINRA-registered brokerage firm, was sanctioned $1.5 million by FINRA to settle findings that the firm churned (excessively traded) customer accounts. [read post]
28 Feb 2012, 12:00 pm
John Kinnucan, of Broadband Research LLC, has been in custody since his arrest in Portland on Feb. 16. [read post]
31 Mar 2010, 11:10 am
Even if hacking is fraudulent in the sense of an affirmative misrepresentation, it has to be in connection with a purchase or sale of a security to be insider trading. [read post]
17 Jul 2020, 12:52 pm
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 Franklin, Tennessee. [read post]
23 Aug 2011, 12:30 pm
Elsworth forex firms frozen under court orderThe CFTC announced that it has won a court order to freeze the assets of Douglas Elsworth Wilson and his three companies, Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC. [read post]
15 Sep 2020, 8:58 am
Investment Services, LLC (CRD#:132939) and Global Financial Private Capital, LLC (CRD#:132070), both of Austin, TX, and USA Wealth Management LLC (CRD#:122082) of Marble Falls, TX. [read post]
