Search for: "E* Trade Securities LLC"
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4 Apr 2022, 8:33 am
This included numerous “in-and-out” trades of the same security. [read post]
4 Apr 2022, 8:10 am
Narith Long (CRD# 6598152) is a previously registered broker whose last known employer was NY Life Securities LLC (CRD#:5167) of Glendale, CA. [read post]
4 Apr 2022, 6:36 am
The post FINRA Suspends Broker Todd Kling After Excessive Trading appeared first on Securities Arbitration Lawyers Blog. [read post]
4 Apr 2022, 3:56 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]
4 Apr 2022, 3:45 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]
3 Apr 2022, 9:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6383/securities-industry-commentator/The 90 Year Old Customer, The Trust Account, Merrill Lynch, the Asset Sale, and the Margin Trade (BrokeAndBroker.com Blog)Interactive Brokers Wins $26.7 Million Counterclaim Against Customers in Stock Manipulation CaseDong Fang, Xingxian Li, Qixu Wang, and Jingxue Zhang, Claimants, v. [read post]
1 Apr 2022, 2:12 am
No reason was given for the suspension in a filing with Securities and Exchange Commission, but other non-traded REITs made similar suspensions in response to the Covid-19 global pandemic. [read post]
31 Mar 2022, 8:46 am
(CRD#:15007), MELVILLE, NY, 05/19/2005 – 03/02/2010, GUNNALLEN FINANCIAL, INC (CRD#:17609), FARMINGDALE, NY 06/13/2002 – 05/19/2005, MILESTONE GROUP MANAGEMENT LLC (CRD#:44486), LAKE SUCCESS, NY According to his FINRA Broker Check profile, Hananel has 6 customer complaints filed against him during his career in the securities industry. [read post]
30 Mar 2022, 6:09 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]
30 Mar 2022, 11:44 am
Listen on mobile platforms: Apple Podcasts | Spotify Links discussed in this episode: “Google LLC v. [read post]
30 Mar 2022, 5:52 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]
30 Mar 2022, 5:13 am
To claim the Child Tax Credit, the dependent children must be US citizens with US social security numbers. [read post]
28 Mar 2022, 2:17 am
Failure to secure an assignment means the business will not be entitled to claim that it is the owner of the trade mark. [read post]
28 Mar 2022, 2:17 am
Failure to secure an assignment means the business will not be entitled to claim that it is the owner of the trade mark. [read post]
24 Mar 2022, 6:17 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]
23 Mar 2022, 9:44 am
According to a FINRA complaint filed on June 15, 2021, from January 2017 to December 2019, while affiliated with Spartan Capital Securities, LLC, Reda allegedly recommended to all of his customers an unsuitable investment strategy that consisted of actively trading in anticipation of corporate announcements. [read post]
18 Mar 2022, 6:02 am
Posted by Shana Elberg, Lisa Laukitis, and Maxim Mayer-Cesiano, Skadden, Arps, Slate, Meagher & Flom LLP, on Thursday, March 17, 2022 Tags: Board dynamics, Board independence, Boards of Directors, Conflicts of interest, Director qualifications, Management Trading Ahead of Barbarians’ Arrival at the Gate: Insider Trading on Non-Inside Information Posted by Georgy Chabakauri (London School of Economics), Vyacheslav… [read post]
18 Mar 2022, 4:00 am
Exxon Mobil released the report on its 2020 lobbying efforts on climate in response to a shareholder resolution from the United Steelworkers trade union and the Dominican Sisters of Grand Rapids. [read post]
15 Mar 2022, 10:35 am
FINRA ordered Robinhood Financial LLC to pay $57 million in fines and $12.6 million in restitution for alleged systemic supervisory failures resulting in significant harm for millions of customers. [read post]
15 Mar 2022, 1:53 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]
