Search for: "US Trade and Exchange, LLC"
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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]
10 Jun 2016, 7:16 am
Only Tier 2 companies are required to file a Form 1-K, one of trade-offs for not having to register with the states. [read post]
3 Jun 2016, 7:32 am
Charges against two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets for failing to accurately describe the order types being used on the exchanges. [read post]
24 May 2016, 9:31 am
The findings stated that the firm failed to establish, maintain, and enforce a supervisory system and WSPs reasonably designed to prevent unsuitable mutual-fund switching and to supervise the sale of leveraged, inverse and inverse-leveraged exchange-traded funds (ETFs). [read post]
24 May 2016, 8:12 am
Summary The Supreme Court has unanimously dismissed the appeal in PST Energy 7 Shipping LLC & Anor v O.W. [read post]
3 May 2016, 5:08 pm
One of the most recent examples of such FTC action is the 2013 enforcement case it brought against hotelier Wyndham Worldwide Corporation following a 2008-09 hack into Wyndham’s computer system.[9] In the Wyndham action, the FTC alleged numerous cyber-security failures by the hotelier, including failure to use readily available security measures such as firewalls, failure to adequately restrict access of third-party vendors to Wyndham’s computer network, failure to adopt… [read post]
25 Apr 2016, 3:17 am
Although set up as a distinct legal entity, the LLC operationally functioned as a division of ALC which provided essential back-office and financial support in exchange for receiving 15% of the LLC’s commission income. [read post]
25 Apr 2016, 3:17 am
Although set up as a distinct legal entity, the LLC operationally functioned as a division of ALC which provided essential back-office and financial support in exchange for receiving 15% of the LLC’s commission income. [read post]
