Search for: "US Trade and Exchange, LLC"
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23 Sep 2016, 12:55 pm
© 2016 Vandenack Weaver LLC For more information, Contact Us [read post]
21 Sep 2016, 7:42 am
In June 2014, the Office of Investor Education and Advocacy at the Securities and Exchange Commission issued an alert cautioning that investment newsletters are often “used to carry out schemes designed to deceive investors. [read post]
9 Sep 2016, 3:00 am
This Sidley memo notes that after much back & forth, the Investors’ Exchange is up and running: On September 2, 2016, the Investors’ Exchange, LLC (IEX) commenced full operations as a registered national securities exchange. [read post]
4 Sep 2016, 6:56 am
The defendants essentially used a company with no business operations and little revenue and deceived the market and their clients into believing it was worth hundreds of millions of dollars through unauthorized trades and deceptive promotions. [read post]
1 Sep 2016, 7:56 am
Instead, the account was used almost exclusively to transfer funds between the firm account and the bank account. [read post]
25 Aug 2016, 12:43 pm
By Anne Sherry, J.D.Defendants accused by the CFTC of spoofing activity in futures contracts lost a challenge to the constitutionality of the Commodity Exchange Act and a CFTC regulation. 3Red Trading, LLC, and its principal allegedly engaged in a four-year manipulative scheme by manually placing large orders on one side of the market, then canceling prior to execution. [read post]
18 Aug 2016, 8:18 am
However he purportedly used the money to obtain cashier’s checks which he used to deposit into his own personal account. [read post]
10 Aug 2016, 12:19 pm
Non-traded REITs are high-risk, illiquid investments. [read post]
27 Jul 2016, 2:56 pm
© 2016 Vandenack Williams LLC For more information, Contact Us [read post]
22 Jul 2016, 11:01 am
We have been in discussions with certain Cayman law firms about how managers might use such LLCs in their offshore structures in future. [read post]
21 Jul 2016, 1:53 pm
Gemini will allow you to set up an “institutional” trading account in the name of your LLC. [read post]
15 Jul 2016, 7:00 am
The Securities and Exchange Commission (SEC) has frequently said that an investment adviser’s fiduciary duty requires an adviser to plan for unexpected disruptions in business. [read post]
15 Jul 2016, 7:00 am
The Securities and Exchange Commission (SEC) has frequently said that an investment adviser’s fiduciary duty requires an adviser to plan for unexpected disruptions in business. [read post]
14 Jul 2016, 8:09 am
The SEC OIPA recent Securities and Exchange Commission ("SEC") enforcement action alleges that investment advisory firm RiverFront Investment Group LLC, which was a registered investment adviser ("RIA") with the SEC since 2008, marketed a wrap fee program to i... [read post]
12 Jul 2016, 8:48 am
According to the SEC’s order instituting a settled administrative proceeding, the coding error occurred in the software that Citigroup used from May 1999 to April 2014 to process SEC requests for blue sheet data, including the time of trades, types of trades, volume traded, prices, and other customer identifying information. [read post]
6 Jul 2016, 9:49 am
Leonard Allen Goldberg (CRD #223972, Rancho Mirage, California) Goldberg consented to the sanction and to the entry of findings that he caused over $123,600 in losses to five customers Disciplinary and Other FINRA Actions 23 June 2016 while making over $77,900 for himself and his member firms by using discretion without the requisite written authorization in connection with 300 mutual fund and exchange traded fund (ETF) transactions to his benefit and the… [read post]
29 Jun 2016, 3:16 am
Copyright © 2007-2016 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
24 Jun 2016, 7:35 am
The scheme evolved to include BOG’s successor, BECC, a reporting company with shares traded on OTC Link and two affiliated entities, Crude Energy LLC and later Patriot Energy Inc. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
13 Jun 2016, 6:46 am
An SEC investigation found that Blackstreet Capital Management, LLC (“Blackstreet”) and its principal performed in-house brokerage services rather than using investment banks or broker-dealers to handle the acquisition and disposition of portfolio companies for a pair of advised private equity funds. [read post]
