Search for: "US Trade and Exchange, LLC"
Results 861 - 880
of 1,699
Sort by Relevance
|
Sort by Date
27 Jul 2017, 12:51 pm
Axiom Investment Advisors, LLC v. [read post]
24 Jul 2017, 5:17 am
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
15 Jul 2017, 6:16 am
I will start out by talking about some of the main issues to consider when looking at Chinese companies that trade publicly overseas, by quoting liberally from Thinking Clearly About Chinese Companies Listed On US Stock Exchanges. [read post]
14 Jul 2017, 5:38 am
The company was delisted from trading on NASDAQ in October 2016 and is still under investigation by the Securities and Exchange Commission. [read post]
12 Jul 2017, 12:57 pm
He was discharged from Bright Trading in August 2016 in light of the investigation by the Chicago Stock Exchange. [read post]
23 Jun 2017, 3:17 pm
SEC Charges Immigration Lawyer With Bilking Investors of EB-5 Program The US Securities and Exchange Commission has filed fraud charges against Sayed Taher Kameli and his companies American Enterprise Pioneers Inc. and Chicagoland Foreign Investment Group, LLC. [read post]
20 Jun 2017, 12:41 pm
Last year brought two of the top 50 SEC settlements, including one in an action against CR Intrinsic Investors, LLC arising out of claims of alleged insider trading. [read post]
20 Jun 2017, 8:41 am
Both companies are sponsored and advised by affiliates of AR Global Investments, LLC. [read post]
19 Jun 2017, 8:47 am
WH Trading uses it’s proprietary codes to analyze the risk of trades, execute trades, interpret data on the exchange market, and price futures, among other things. [read post]
16 Jun 2017, 6:19 am
Krug, University of Washington School of Law, on Wednesday, June 14, 2017 Tags: Broker-dealers, DOL, Donald Trump, ERISA, Fiduciary duties, Fiduciary rule, Financial regulation, Incentives, Investment advisers, Investor protection, SEC, Securities regulation Government Leaks Lead to Landmark Insider Trading Case Posted by Ken Herzinger and Stephanie Albrecht, Orrick, Herrington & Sutcliffe LLP, on Wednesday, June… [read post]
18 May 2017, 6:54 am
The downside to these bankruptcy protections however is that they can provide protections for fraudsters, who use these transactions to trade funds out of a fraudulent entity, and then file for bankruptcy protection. [read post]
14 May 2017, 5:27 am
During his suspension, Cody used personal email accounts to communicate with clients about investment strategies that then forward recommendations to Jill to execute trades. [read post]
11 May 2017, 6:56 am
The company was delisted from trading on NASDAQ in October 2016 and is still under investigation by the Securities and Exchange Commission. [read post]
3 May 2017, 12:52 am
For this reason, we typically prefer to use the MSO model. [read post]
27 Apr 2017, 9:37 am
Collecting equipment used, or uniforms worn, during an NFL game is big business. [read post]
12 Apr 2017, 4:51 am
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
30 Mar 2017, 4:17 pm
Securities and Exchange Commission (SEC) have garnered a great deal of attention for laying substantial blame at the feet of Yahoo’s own internal legal department. [read post]
29 Mar 2017, 5:09 am
Under the 1975 Securities Acts Amendments, large money-management institutions were required to report their portfolio holdings on a quarterly basis to the Securities and Exchange Commission. [read post]
28 Mar 2017, 5:18 pm
According to the SEC release, the brokers were charged with fraudulently using an “in-and-out” trading strategy that was allegedly unsuitable for customers in order to generate large commissions. [read post]
28 Mar 2017, 7:00 am
The prime broker is typically an investment bank that facilitates and coordinates all your trades, and serves as a centralized manager for your investments worldwide. [read post]
