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28 Oct 2020, 6:00 am
The post FINRA Wants Investors to Know that it Does NOT Approve Securities for Trading appeared first on Zamansky LLC. [read post]
30 Jul 2018, 9:03 am
Unauthorized trading is often a gateway violation to other securities violations including churning, unsuitable investments, and excessive use of margin. [read post]
7 Apr 2021, 6:38 am
Unauthorized trading is a type of investment fraud because the Securities Exchange Commission (SEC) has found that disclosures of trades being made are essential and material to an investor. [read post]
10 Feb 2014, 4:56 am
In furtherance of his scheme, Persaud formed and controlled the White Elephant Trading Company LLC. [read post]
30 Oct 2019, 8:38 am
Nelson, J.D.A no-action letter issued by the SEC’s division of Trading and Markets to Paxos Trust Company, LLC will allow Paxos to conduct a 24-month test of its Paxos Settlement Service (PSS) using distributed ledger technology (DLT). [read post]
16 Sep 2011, 7:13 pm
After an exchange of letters in which Eight Estates maintained that neither the LLC Agreement nor 6 Del. [read post]
27 Jan 2010, 9:32 pm
LLC’s former chief administrator, has settled charges filed by the US Securities and Exchange Commission that he sold Evergreen Ultra Short Opportunities Fund shares after obtaining insider information that a number of the MBS holdings were going to drop down in value. [read post]
23 Apr 2011, 7:15 am
Keep in mind it is not a forgiveness of taxes, Uncle Sam won’t let that slide, but more of a trade up and you can pay us later program. [read post]
20 May 2011, 6:24 pm
Tomassi Law Associates, LLC – Learn More at www.attorneyri.com article sourceContinue to keep your current web log fresh by making use of Automated Blog Content currently offered by BlogDominator.com Tomassi Law Associates, LLC is a Rhode Island based law practice with offices in Wakefield, Warwick and North Providence, RI. [read post]
5 Jun 2024, 3:38 pm
FINRA alleged that Katz forged customer signatures on switch letters, and purportedly used discretion without authorization. [read post]
1 May 2015, 9:37 am
Morgan Securities, LLC (J.P. [read post]
30 Jan 2013, 5:58 pm
Oltrin Solutions, LLC and JCI Jones Chemicals Inc., were competitors in the market for bulk bleach, which is used primarily as a disinfectant in municipal water treatment. [read post]
18 Jul 2013, 3:00 pm
"In reality, [the forex trader] was suffering forex trading losses and putting investor money to other uses." [read post]
3 Jun 2012, 5:58 am
© 2012 Simple Justice NY LLC. [read post]
26 Oct 2016, 7:51 am
Lebel was a broker and former representative of registered broker-dealer and investment advisor, LPL Financial LLC (“LPL”). [read post]
12 Apr 2021, 6:36 am
ETFs that invest in the VIX are part of a group of group of ETFs considered to be leveraged exchanged traded funds or Non-Traditional ETFs. [read post]
21 Apr 2020, 12:37 pm
The New York Stock Exchange (NYSE) and The Nasdaq Stock Market LLC (Nasdaq) both took action this month to provide issuers with much needed relief in response to the economic downturn caused by the COVID-19 pandemic. [read post]
14 Dec 2023, 12:42 pm
Freepoint Commodities LLC, a trading company in Stamford, Connecticut, will pay $98.5 million to settle violations of the Foreign Corrupt Practices Act stemming from a scheme to bribe officials at Brazil’s state oil company, Petróleo Brasileiro S.A. [read post]
27 Jun 2023, 5:35 am
JP Morgan Securities LLC (CRD#: 79/SEC#: 801-3702,8-35008), a dual registered broker-dealer and investment advisory firm, is a subsidiary of JP Morgan Chase, the largest bank in the US. [read post]
13 Sep 2023, 6:06 am
To determine whether the trading is excessive considering the goals of the account, the most often used analysis is the calculation of a “turnover ratio”. [read post]
