Search for: "E* Trade Securities LLC"
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13 Nov 2015, 7:27 am
The customer complaints against Fowler allege securities law violations that claim churning and excessive trading, unsuitable investments, breach of fiduciary duty, unauthorized trading, fraud, overconcentration, purchasing securities on margin, and misrepresentations among other claims. [read post]
8 Sep 2022, 5:00 pm
UBS Securities LLC, the plaintiff Trevor Murray was hired back in 2011 to perform research and generate reports for UBS’s commercial mortgage-backed securities business. [read post]
28 Jul 2012, 9:55 am
Golden Anchor Trading II LLC was also sued over this matter and has settled as well. [read post]
14 Apr 2008, 11:52 am
Ignorant tort victims are treating their structured settlements like American Express points that they can trade in for goodies,thanks to Bob Shapiro and Woodbridge Investments, LLC and their predation catalog of consumer goods. [read post]
3 Jul 2012, 7:23 am
The Complaint alleges that the securities trading account incurred significant trading losses and a substantial amount of the investors' money was improperly transferred from the trading account to PFG's operating account. [read post]
29 Jul 2013, 7:45 am
Publicly traded manufacturers may find themselves caught between competing securities regulations. [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]
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]
28 Jun 2011, 7:53 am
Credit Suisse Securities (USA) LLC, No. 09-35262 (9th Cir. [read post]
8 Mar 2012, 8:00 am
In Grace Hunt IT Solutions, LLC v. [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]
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]
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]
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]
