Search for: "US Trade and Exchange, LLC"
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3 Mar 2017, 9:43 am
Neo@Ogilvy LLC. [read post]
19 Jan 2023, 12:49 pm
Mezrahi is co-founder and CEO and Sigrist is Vice President of Data Science at SAR LLC. [read post]
23 Jun 2017, 3:17 pm
SEC Charges Immigration Lawyer With Bilking Investors of EB-5 Program The US Securities and Exchange Commission has filed fraud charges against Sayed Taher Kameli and his companies American Enterprise Pioneers Inc. and Chicagoland Foreign Investment Group, LLC. [read post]
11 May 2010, 2:23 am
PLMIC, LLC, Opposition No. 91174641 and PLMIC, LLC v. [read post]
17 Sep 2022, 8:22 am
This means the bonds are not tradable on any stock exchange. [read post]
24 Jun 2016, 7:35 am
The scheme evolved to include BOG’s successor, BECC, a reporting company with shares traded on OTC Link and two affiliated entities, Crude Energy LLC and later Patriot Energy Inc. [read post]
1 Dec 2011, 2:10 pm
The complaint also accuses WisdomTree's subadvisor, Mellon Capital Management Corp., and WisdomTree's exchange-traded fund distributor, ALPS Distributors Inc., of patent infringement. [read post]
29 Nov 2009, 11:47 pm
The two commonly used forms of joint-ventures are an LLC and a closed joint-stock company (CJSC - a private company where participants own shares that are not publicly traded); however, the choice of form mainly depends on the economic considerations and specific circumstances. [9] Some investors prefer LLC as they are subject to a lighter regulatory regime, while others choose CJSC as it offers higher protection to shareholders, although is more burdensome as it… [read post]
30 Jun 2022, 7:05 am
The DTSA requires employers to provide notice of whistleblower immunity “in any contract or agreement with an employee that governs the use of a trade secret or other confidential information. [read post]
30 Jun 2022, 12:49 pm
The DTSA requires employers to provide notice of whistleblower immunity “in any contract or agreement with an employee that governs the use of a trade secret or other confidential information. [read post]
Madoff Trustee Files Clawback Lawsuits Collectively Seeking Over $1B For BLMIS Feeder Fund Transfers
12 Jun 2012, 8:06 pm
They are contending that their investments are covered under US securities law protections because they are connected with Madoff’s alleged New York Stock Exchange stock trades and, as a result, “economic reality” makes their purchases equal to investments in these stocks. [read post]
18 May 2022, 1:17 pm
(See: 5 Firms Charged with Exchange-Traded Products Violations.) [read post]
29 Nov 2021, 7:15 am
Allegations include misappropriation of funds, and unauthorized trades, among others. [read post]
15 Dec 2020, 9:45 am
Our client was a financial advisor at broker-dealer Morgan Stanley Smith Barney, LLC (Morgan Stanley). [read post]
10 Jun 2016, 7:16 am
Only Tier 2 companies are required to file a Form 1-K, one of trade-offs for not having to register with the states. [read post]
14 May 2017, 5:27 am
During his suspension, Cody used personal email accounts to communicate with clients about investment strategies that then forward recommendations to Jill to execute trades. [read post]
31 Dec 2019, 11:36 am
Contact us today and let us know how we can help. [read post]
30 Nov 2016, 4:03 pm
In one of the early cases, Federal Trade Comm. v. [read post]
17 Apr 2020, 7:55 am
From July 2018 through December 2019 Labelle was registered with LPL Financial LLC. [read post]
22 Aug 2006, 4:43 am
Duramax Marine, LLC v. [read post]
