Search for: "US Trade and Exchange, LLC"
Results 781 - 800
of 1,699
Sorted by Relevance
|
Sort by Date
20 Jun 2017, 8:41 am
Both companies are sponsored and advised by affiliates of AR Global Investments, LLC. [read post]
10 Oct 2017, 1:34 pm
The Securities and Exchange Commission today announced that Walter E. [read post]
11 Apr 2016, 11:28 am
The Securities and Exchange Commission today announced that Marshall S. [read post]
4 Nov 2014, 1:30 pm
United States 14-29Issue: (1) Whether, in a prosecution for insider trading under § 10(b) of the Securities Exchange Act, 15 U.S.C. [read post]
1 Apr 2016, 7:27 am
This follows after the Securities and Exchange Commission began its investigation into United Development Fund IV in 2014 and after famed hedge fund manager Kyle Bass alleged that UDF was using new investor money to pay existing investors, therefore perpetuating a Ponzi-like scheme. [read post]
8 Jul 2022, 4:00 am
Congress ultimately laid down few conditions for how local leaders could use the pot of money. [read post]
14 Dec 2022, 5:12 am
The SEC also alleged that Bankman-Fried violated Exchange Act Section 10(b) and Rule 10b-5. [read post]
23 Aug 2011, 5:00 am
In an unusual instance of the state regulators acting before Securities and Exchange Commission, the Massachusetts securities regulators are proposing a new regulation to address the use of expert network services. [read post]
8 Dec 2011, 5:00 am
Oct. 6, 2011), the Securities and Exchange Commission (“SEC”) brought charges against defendants Eric Aronson, Vincent Buonauro, Robert Kondratick, Fredric Aaron, the PermaPave companies (PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., and Verigreen, LLC), and Interlink-US-Network, Ltd (collectively, “Defendants”). [read post]
13 Feb 2023, 5:59 am
[xiv] The DOJ’s private equity healthcare antitrust concerns have also been echoed by the Federal Trade Commission (“FTC”). [read post]
2 Nov 2012, 7:19 am
Wells Fargo, FINRA ID # 11-00484, the Claimants, James and Linda Bordas filed an arbitration claim against Wells Fargo Advisors, LLC and Ernest Coffindaffer for unsuitability, unauthorized trading, forgery, misrepresentation, fraud, negligence, breach of fiduciary duty, violations of the Securities and Exchange Act of 1934 and Rule 10b-5, respondeat superior, failure to supervise, and breach of contract. [read post]
23 Aug 2021, 9:09 am
Securities and Exchange Commission (SEC). [read post]
16 Oct 2020, 12:55 pm
Mitchell Stein, a publicly traded company’s in-house counsel, was convicted of fraud for a scheme to inflate the company’s stock prices. [read post]
18 Feb 2016, 12:58 pm
QED’s goal was to select investments that would outperform the market using that strategy. [read post]
27 Jan 2014, 9:45 am
LeanSpa, LLC The FTC’s fourth settlement involves LeanSpa, LLC, and other related companies. [read post]
30 Mar 2018, 4:17 am
For example, a deal may be closing that requires a corporation or LLC. [read post]
14 Dec 2015, 5:36 am
Since 2007, Coscia served as the principal of Panther Energy Trading LLC, a high-frequency futures trading firm.According to the Indictment, in August 2011, Coscia developed and implemented a high-frequency trading strategy that allowed him to enter and cancel large-volume orders in a matter of milliseconds. [read post]
18 Feb 2022, 10:02 am
The SEC alleges that he executed the fraud scheme by altering inputs and manipulating the code of a third-party pricing service used to value the funds’ assets. [read post]
31 Dec 2020, 3:00 pm
appeared first on Zamansky LLC. [read post]
9 Nov 2014, 5:00 am
hoping for a new public http://t.co/TvlvGF6DmR -> Equivocal Email Exchanges Don’t Transfer Copyright Ownership http://t.co/I3OpZ5qSAG -> Defendant liable for cyber squatting HAKKASAN LV v VIP, UNLTD., LLC http://t.co/wwAsAod7HK -> Harris: Political ads give lesson on copyright infringement http://t.co/cmnEY90kM6 -> Facebook Copyright Infringement & The Case Against It http://t.co/K5o0sNapP0 -> David Petraeus, ex-CIA head, says security must be balanced… [read post]
