Search for: "US Trade and Exchange, LLC"
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20 Jan 2018, 12:00 am
Medina, an estate planning and elder law attorney and Certified Financial Planner™. [read post]
17 Jan 2018, 1:55 pm
The post Investors Should Beware Of Potential Cryptocurrency Investment Rip-Offs appeared first on Zamansky LLC. [read post]
12 Jan 2018, 3:50 am
The post SEC, FINRA Seek Penalties for Investment Fraud Scams Targeting Vulnerable Investors appeared first on Zamansky LLC. [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]
29 Dec 2017, 7:34 am
It no doubt explains why Spotify and China's internet giant Tencent exchanged equity stakes of just under 10 per cent of each other, and why Tencent now has a $2 billion stake in Snapchat. [read post]
23 Dec 2017, 12:00 am
Medina, an estate planning and elder law attorney and Certified Financial Planner™. [read post]
22 Dec 2017, 1:51 pm
Specified service trade or business. [read post]
15 Dec 2017, 2:12 pm
Adding to the fervor and increasing the risk, Bitcoin futures started trading on the CBOE Futures Exchange this month and the CME plans to launch its Bitcoin futures trading on Monday. [read post]
12 Dec 2017, 4:36 pm
Securities and Exchange Commission (SEC) made two key announcements in September of 2017. [read post]
5 Dec 2017, 9:46 am
Premier Holding Corp. is a publicly traded energy services holding company based in California that provides “green energy services. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
30 Nov 2017, 10:59 am
The case is H2R Restaurant Holdings LLC et al. v. [read post]
26 Nov 2017, 4:00 am
Lawrence, 2017 ONCA 321 (37617) When does a trade union, and directors as individuals, have the capacity to be sued. [read post]
14 Nov 2017, 3:27 am
In September, cryptocurrency trading posted a record $11 billion in trading volume according to Crypto coin News, an industry tracking website. [read post]
2 Nov 2017, 2:28 pm
Another factor to consider is that Telia, which used to have shares traded on a US stock exchange, no longer an SEC registrant and therefore not an “issuer” under the FCPA. [read post]
27 Oct 2017, 6:24 am
” Covered investment funds include exchange-traded funds (ETFs), exchange-traded managed funds (ETMFs) and publicly traded commodity pools that invest primarily in commodities, currencies, or derivative instruments that reference commodities or currencies. [read post]
24 Oct 2017, 9:38 am
Gray, P.C. possess considerable experience in representing aggrieved investors who have lost money due to unsuitable recommendations to purchase inappropriate securities, including illiquid non-traded investment products that do not trade on a national securities exchange. [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]
10 Oct 2017, 1:34 pm
The Securities and Exchange Commission today announced that Walter E. [read post]
5 Oct 2017, 7:24 am
According to the SEC’s complaint, Tweed allegedly concealed the losses by issuing phony account statements that made the fund, which used a quantitative stock trading strategy, appear profitable. [read post]
