Search for: "US Trade and Exchange, LLC"
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2 Oct 2017, 4:50 pm
The SEC’s disclosure that its EDGAR system had been had hacked was big news last week, as was the accompanying disclosure that the information accessed may have been used for improper trading. [read post]
28 Sep 2017, 12:22 pm
The Securities and Exchange Commission today announced that Andrew M. [read post]
19 Sep 2017, 9:58 am
Trade-mark rights may also arise through use of a trade-mark at common law. [read post]
19 Sep 2017, 9:58 am
Trade-mark rights may also arise through use of a trade-mark at common law. [read post]
19 Sep 2017, 9:58 am
Trade-mark rights may also arise through use of a trade-mark at common law. [read post]
19 Sep 2017, 9:58 am
Trade-mark rights may also arise through use of a trade-mark at common law. [read post]
7 Sep 2017, 8:18 am
State Street used false trading statements, pre-trade estimates, and post-trade reports to misrepresent its compensation on various transactions, especially purchases and sales of bonds and other securities that trade outside large transparent markets. [read post]
5 Sep 2017, 7:25 am
He allegedly commingled the funds with his own money and used them for his own purposes, and in some instances, he purportedly used customer funds to pay returns to earlier investors. [read post]
1 Sep 2017, 6:49 am
PARKER, Appellants,v.INTERACTIVE BROKERS LLC, Appellee. [read post]
30 Aug 2017, 6:59 am
The plaintiffs, a financial services firm and two proprietary trading firms, contend that the banks abused their position as primary dealers to manipulate an important benchmark in violation of the Commodity Exchange Act, the Sherman Act, and common law (Breakwater Trading LLC v. [read post]
28 Aug 2017, 1:32 pm
SEC, the dividing line between lawful trading on material, nonpublic information and unlawful insider trading has been whether the tipper breached a duty in exchange for a “personal benefit. [read post]
22 Aug 2017, 6:46 am
In 2010, the Securities and Exchange Commission (“SEC”) filed a complaint against Hicks and his two hedge fund advisers, Southridge Capital Management LLC (“Southridge Capital”) and Southridge Advisors, LLC (“Southridge Advisors”). [read post]
21 Aug 2017, 5:00 am
File no. 3-17808 (Jan. 24, 2017), and In the Matter of Morgan Stanley Smith Barney LLC, SEC, Admin. [read post]
18 Aug 2017, 10:35 am
Jackson began working with Left Coast, a former distributor of NPK’s products, to launch a competitive product line using Yeti’s frequency water. [read post]
16 Aug 2017, 6:04 am
In the Matter of Pacific Investment Management Company LLC (December 1, 2016)www.sec.gov/litigation/admin/2016/ia-4577.pdf PIMCO Total Return-Exchange-Traded Fund (“BOND”) was one of PIMCO’s first actively managed exchange-traded funds. [read post]
16 Aug 2017, 6:04 am
In the Matter of Pacific Investment Management Company LLC (December 1, 2016)www.sec.gov/litigation/admin/2016/ia-4577.pdf PIMCO Total Return-Exchange-Traded Fund (“BOND”) was one of PIMCO’s first actively managed exchange-traded funds. [read post]
5 Aug 2017, 11:50 am
Section 1692e(10) prohibits "using false representations or deceptive means to collect or attempt to collect any debt or to obtain information concerning a consumer. [read post]
30 Jul 2017, 1:17 pm
Sue owns the buildings used in the operation. [read post]
30 Jul 2017, 1:17 pm
Sue owns the buildings used in the operation. [read post]
