Search for: "E* Trade Securities LLC"
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7 Mar 2013, 8:38 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]
4 Dec 2015, 5:27 am
Such trading occurs when a broker sells securities without the prior authority from the investor. [read post]
13 Sep 2022, 11:07 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 Seattle, Washington. [read post]
7 Sep 2021, 6:41 am
In fact, these are pretty low returns when compared to the rate of return on the S&P 500 or even alternative investments like non-Traded REITs. [read post]
2 Oct 2018, 5:44 am
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Heath Bowen Allegis Investment Services, LLC Signator Financial Services, Inc William Eaton LPL Financial, LLC Wells Fargo Advisors, LLC Yosef Fox Ditto… [read post]
19 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
17 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
1 Jul 2024, 12:22 pm
Patrick Mendenhall (Patrick Michael Mendenhall CRD# 1068809) is a registered broker and investment advisor currently registered with USCA Securities LLC (CRD# 103789) of Houston, TX. [read post]
31 Jan 2022, 2:35 am
FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)In re: JANUARY 2021 SHORT SQUEEZE TRADING LITIGATION (This Document Relates to the Robinhood Tranche) (Order SDFL)CFTC Charges South Florida Resident and His Firm for Operating a $9.8 Million Commodity Futures and Options Fraud (CFTC Release)Cardinal Health Agrees to Pay More than $13 Million to Resolve Allegations that it Paid Kickbacks to Physicians (DOJ Release)SEC Denies Enforcement Testimonial Subpoena for… [read post]
12 Sep 2018, 2:23 pm
Promotional materials also represented that investors could trade their tokens for potential profits on a token trading platform, and that they would could convert their tokens into Tomahawk equity at a 1:1 ratio on a future date. [read post]
11 Jan 2012, 1:15 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
9 Jan 2018, 7:08 am
Specifically, last summer it granted LedgerX LLC’s application to register as a swap exchange facility and a derivatives clearing organization to trade and clear options on bitcoin, among other things. [read post]
27 Jan 2017, 9:11 am
Defend Trade Secrets Act One of the most significant developments of 2016 that will likely have a profound impact on trade secret cases in the coming years was the enactment of the Defend Trade Secrets Act (“DTSA”). [read post]
11 Feb 2010, 11:55 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
3 Jan 2017, 10:09 am
According to the SEC’s original complaint, Jesse Litvak arranged trades for customers as part of his job as a managing director on the mortgage-backed securities desk at Jefferies. [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]
22 Jun 2012, 8:05 am
The SEC said that Persaud created phony account statements to hide his trading losses and give investors a false sense of security. [read post]
3 Nov 2022, 11:00 pm
In some circumstances, foreign investors even have tax benefits (compared to local investors) for trading credits that are documented in the form of securities. [read post]
9 Nov 2021, 1:34 pm
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 Seattle, Washington. [read post]
16 Feb 2018, 11:32 am
Oculus VR, LLC, No. 3:14-CV-1849 (N.D. [read post]
