Search for: "US Trade and Exchange, LLC"
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11 Sep 2020, 2:36 pm
Call us toll free at (866) 442-3601 or email ssilver@silverlaw.com to get in touch. [read post]
27 Dec 2016, 3:19 pm
© 2016 Vandenack Weaver LLC For more information, Contact Us [read post]
27 Sep 2011, 7:56 am
And that harms all of us. [read post]
13 Feb 2012, 9:44 am
Whitman used that information to execute trades that earned Whitman Capital LLC more than $900,000 in illegal profits. [read post]
7 Nov 2023, 8:37 am
Algorithmic Trading: Using Regulatory Notice 15-09 guidance to inform surveillance programs for firms engaged in algorithmic trading. [read post]
27 Mar 2009, 1:49 pm
ICE US Trust LLC, a division of InternationalExchange Inc., began processing credit default swap trades on March 9. [read post]
24 Jul 2009, 11:03 am
Exchange-traded funds (ETFs) that use leverage or perform inversely (opposite) to an index or benchmark they track are growing in number and popularity. [read post]
12 Jul 2012, 4:49 pm
The Securities and Exchange Commission has approved the New York Stock Exchange LLC and NYSE Amex LLC proposal for a pilot program that lets them set up for one year a private trade execution venue for retail investors. [read post]
14 Apr 2008, 9:49 am
Using a factoring exchange saves time. [read post]
23 Nov 2011, 8:52 pm
Madoff Investment Securities LLC (BMIS), has been charged by the Securities and Exchange Commission with fraud. [read post]
30 Jun 2011, 3:45 pm
The LLC/partnership interest is a fair trade for the assets conveyed. [read post]
24 Oct 2017, 5:35 am
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to customers for alleged unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures, according to InvestmentNews. [read post]
27 Jul 2018, 1:25 pm
(registered as a broker-dealer) Digital Wealth LLC (registered as an investment advisor) By acquiring companies with the proper licenses already in place, Coinbase may be able to speed up its plan to create an exchange-based trading platform for blockchain-based securities as a regulated broker-dealer. [read post]
9 Dec 2011, 8:31 pm
The Securities and Exchange Commission says that it has resolved its Colorado securities fraud lawsuit against Universal Consulting Resources LLC (UCR) and the financial firm’s owner, Richard Dalton. [read post]
16 Feb 2023, 6:02 am
The Firm failed to detect the mismarked tickets and failed to enforce its written supervisory procedures prohibiting solicitation of inverse or leveraged exchange traded funds. [read post]
17 May 2022, 6:50 am
LLC (AGI US) and three former senior portfolio managers with a massive fraudulent scheme that concealed the immense downside risks of a complex options trading…Read the Full Press ReleaseHave a securities law question? [read post]
20 Aug 2008, 10:41 am
Rosenthal Collins Group, LLC v. [read post]
10 Apr 2024, 1:52 pm
GCTC Holdings, LLC v. [read post]
13 Dec 2022, 11:56 am
The Securities and Exchange Commission (SEC) Tuesday brought civil charges against Samuel Bankman-Fried, CEO and co-founder of the crypto trading platform FTX Trading Ltd. [read post]
SEC Charges Madoff Employee With Creating Fake Trades. We knew he could not have done it on his own.
22 Nov 2011, 11:21 am
Madoff Investment Securities LLC (BMIS) for nearly four decades, was asked by Madoff to provide the firmandrsquo;s investment advisory operations with backdated arbitrage trade information to be formulated into fictitious trading on investorsandrsquo; account statements. [read post]
