Search for: "E* Trade Securities LLC"
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10 Jun 2015, 11:51 am
According to the Arkansas Securities Commissioner, Niaz Elmazi (a New York resident who was registered with the Arkansas Securities Department as a broker-dealer agent with HFP Capital Markets LLC, CRD No. 44351, from June 9, 2009 to May 16, 2013) was recently sued by the Arkansas Securities Commissioner. [read post]
4 Oct 2022, 8:33 am
From October 2013 until March 2017 Da Cruz was registered with Citi International Financial Services LLC. [read post]
22 May 2010, 3:55 pm
The Financial Industry Regulatory Authority says that Deutsche Bank Securities and National Financial Services LLC have consented to be fined $925,000 in total for supervisory violations, as well as Regulation SHO short sale restrictions violations. [read post]
27 Dec 2011, 11:48 pm
Research Affiliates, LLC. [2010] APO 31 (17 December 2010) Research Affiliates, LLC [2011] APO 101 (5 December 2011) Manner of manufacture – whether method, system and computer program product for generating a weighted securities index is patent-eligible In this continuation of IP Australia’s ‘war on business methods’, a Delegate of the Commissioner of Patents has, for a second time, rejected claims directed to an invention directed… [read post]
24 May 2012, 9:00 am
In Sentient Jet LLC v. [read post]
4 Jan 2018, 6:47 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 and Vero Beach, Florida. [read post]
28 Jan 2019, 11:18 am
(CRD #40077), Brookstone Securities, INC. [read post]
26 Jan 2012, 8:33 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 and Boca Raton, Florida. [read post]
3 Feb 2009, 2:48 pm
Pretty soon we are going to need a scorecard - Wachovia Securities LLC and UBS Financial Services Inc. of New Yorkhave engaged in preliminary talks about a joint venture for theirretail-brokerage units, according to a report in today's New York Post. [read post]
8 Jun 2021, 11:29 am
., its parent company, and two of the now-defunct company’s former employees, after allegations of data security issues and deceptive trade practices. [read post]
9 Nov 2009, 1:37 am
(www.mallonpc.com) State Securities Agency Calls PAMM Accounts Securities Forex investment managers who offer forex separately managed account programs need to be aware of the risks of offering trading programs which use PAMM accounts. [read post]
29 Mar 2018, 11:04 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 and Vero Beach, Florida. [read post]
17 Dec 2020, 11:35 am
A former South Florida Morgan Stanley Smith Barney broker’s decision to blow the whistle on alleged misconduct has resulted in an almost $1.8 million award from the Securities and Exchange Commission, which said the complaint helped uncover crucial evidence and claw back millions for investors.Represented by James Sallah of Sallah Astarita & Cox, LLC and Scott Silver of Silver Law Group the complaint revolved around a foreign currency trading… [read post]
21 Dec 2017, 5:51 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 and Vero Beach, Florida. [read post]
25 Jan 2016, 2:17 am
On January 31, 2015, the Securities and Exchange Commission ("SEC") announced that it had entered into settlements with Barclays Capital Inc. and Credit Suisse Securities (USA) LLC concerning those firms' alleged operations of alternative trading systems, so-called "Dark Pools. [read post]
8 Oct 2014, 10:10 am
Historic HFT Manipulation CaseIn what the Securities and Exchange Commission (“SEC”) has characterized as its first ever high frequency trading (“HFT”) manipulation case, on Oct. 16, 2014, the SEC filed an Order Instituting Proceedings (“OIP”) alleging that Athena Capital Research, LLC., a New York City-based HFT firm, violated Section 10(b) of the Securities Exchange Act of 1934 and Rule... [read post]
16 Aug 2023, 9:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated [read post]
31 Jul 2008, 4:25 pm
The Social Security Disability application process can be very difficult and intimidating. [read post]
24 Jan 2019, 11:14 am
His previous employers include International Assets Advisory, LLC (CRD #10645) and IAA Financial LLC (CRD #6578) of West Palm Beach, FL, and U.S. [read post]
13 Aug 2018, 1:22 pm
Previous employers include Banc One Securities Corporation (CRD #16999) of Chicago and Andrew Garrett Inc. [read post]
