Search for: "US Trade and Exchange, LLC"
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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]
18 Apr 2016, 9:15 am
They are also alleged to have diverted approximately $385,000 to Quay, who is alleged to have used the funds for his own personal trading. [read post]
18 Apr 2016, 8:13 am
Among the Q&As was the following exchange: 5. [read post]
14 Apr 2016, 7:07 am
For those of you who follow the stock market closely, you may recall that the company used to be traded on the NASDAQ stock exchange under the ticker symbol BEAR, but was later taken private in 2005. [read post]
11 Apr 2016, 11:28 am
The Securities and Exchange Commission today announced that Marshall S. [read post]
10 Apr 2016, 9:08 am
For his part, Geffen’s lawyer says Geffen has “never used an offshore account for business or commercial purposes or has any kind of tax haven. [read post]
4 Apr 2016, 6:25 am
Last month the Securities and Exchange Commission (“SEC”) commenced an administrative proceeding against an Augusta Georgia investment adviser to a hedge fund called Geier International Strategies Fund, LLC (“GISF”). [read post]
1 Apr 2016, 7:27 am
This follows after the Securities and Exchange Commission began its investigation into United Development Fund IV in 2014 and after famed hedge fund manager Kyle Bass alleged that UDF was using new investor money to pay existing investors, therefore perpetuating a Ponzi-like scheme. [read post]
27 Mar 2016, 6:56 pm
Friedman LLC represents criminal defendants in the state and federal trial courts in New Jersey and New York City. [read post]
25 Mar 2016, 10:47 am
Recent efforts by the Federal Trade Commission (“FTC”) to regulate the use of native advertisements — a popular and growing advertising tool– have resulted in the first enforcement action. [read post]
25 Mar 2016, 9:16 am
2015-1743)[2] These appeals involve three CBOE patents directed to automated trading exchange systems. [read post]
20 Mar 2016, 5:55 am
The Securities and Exchange Commission (SEC) recently filed a complaint alleging that Oregon-based investment firm Aequitas Management, LLC (Aequitas Management) and its subsidiaries operated a Ponzi-like scheme that defrauded its 1,500 customers of approximately $350 million. [read post]
18 Mar 2016, 6:21 am
The Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”), and the Federal Trade Commission (“FTC”), among others, have all been quite active in policing data security practices of financial institutions in recent years. [read post]
16 Mar 2016, 10:37 am
Reprinted with permission from the February 23, 2016, edition of The Legal Intelligencer © 2016 ALM Media Properties, LLC. [read post]
16 Mar 2016, 10:37 am
Reprinted with permission from the February 23, 2016, edition of The Legal Intelligencer © 2016 ALM Media Properties, LLC. [read post]
14 Mar 2016, 2:56 am
A paralegal working at the insured law firm, Cumberland & Erly, LLC (“C&E”), embezzled $157,268.75 through forging checks. [read post]
13 Mar 2016, 6:07 am
There are about 130 MLPs trading on major exchanges that focus on energy related industries and natural resources. [read post]
11 Mar 2016, 8:35 am
While Aequitas did use some investor money to acquire trade receivables in health care, education, transportation, and other consumer credit sectors, the vast majority was concentrated in student loan receivables of for-profit education provider Corinthian Colleges. [read post]
10 Mar 2016, 5:25 pm
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
2 Mar 2016, 12:00 pm
Holley is merely one of dozens of insider trading defendants attempting to have their claims dismissed in light of Newman – just as Goyal is one of many attempting to use Newman to have administrative bars lifted. [read post]
