Search for: "US Trade and Exchange, LLC"
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6 Aug 2015, 6:21 pm
John Reed Stark is President of John Reed Stark Consulting LLC, a data breach response and digital compliance firm. [read post]
3 Aug 2015, 4:06 am
Parks, LLC v. [read post]
28 Jul 2015, 1:34 pm
The case is Mach Mining, LLC v. [read post]
27 Jul 2015, 7:26 am
” Reef Road Capital LLC is reported to have similar views, allegedly betting against exchange-traded funds that hold junk bonds. [read post]
24 Jul 2015, 1:45 pm
Bexio, LLC is an online beer exchange network that allows beer connoisseurs to trade rare beers. [read post]
23 Jul 2015, 6:28 pm
The increased use of its administrative courts has also drawn court challenges. [read post]
22 Jul 2015, 3:56 am
The National Association of Manufacturers, a trade group, cited a member company that said it would face $18 million in costs related to implementing the rule. [read post]
16 Jul 2015, 4:00 pm
GoodKristin Synder, Securities and Exchange Commission Frank Martin, Standard Pacific Capital, LLC Michelle Young, Ohana Advisors Sponsors Pillsbury 100 Women in Hedge Funds [read post]
8 Jul 2015, 2:29 pm
The indictment alleges that Graves defrauded six clients of his firm, Warren Financial Services LLC, through the sale of $420,720 in investment contracts. [read post]
22 Jun 2015, 9:55 am
Marvel Entertainment, LLC (2015) Download Opinion Opinion by Justice Kagan. [read post]
22 Jun 2015, 9:24 am
******************PREVIOUSLY, ON NEVER TOO LATE Never too late 50 [week ending on Sunday 7 June] - Swiss claims | Italian-sounding trade marks for cosmetics | “IP litigation and Enforcement” event | Saving WiFi | Spy scandal at the EPO | Rihanna v DC Comics | KitKat trade mark | Taste trade marks in the Netherlands | Connectivity and human rights | Trade secrets, client confidentiality and privilege | 3-d printing and… [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to monitor and… [read post]
1 Jun 2015, 4:05 am
Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI) Summit Location: San Jose, CA Date: June 1, 2015 Sponsor: 100WHF Event: 100WHF Philanthropy Evening Recital with Juliet Stevenson and Tim McInnerny to benefit The Art Room Location: London, UK Date: June 2, 2015 Sponsor: 100WHF Event: The View from the Top – Asset Management CEOs Location: New York, NY… [read post]
1 Jun 2015, 4:05 am
Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI) Summit Location: San Jose, CA Date: June 1, 2015 Sponsor: 100WHF Event: 100WHF Philanthropy Evening Recital with Juliet Stevenson and Tim McInnerny to benefit The Art Room Location: London, UK Date: June 2, 2015 Sponsor: 100WHF Event: The View from the Top – Asset Management CEOs Location: New York, NY… [read post]
31 May 2015, 4:29 pm
Three days after he returned from leave, the employee was given a written warning for the unprofessional language used in his email regarding his coworker. [read post]
31 May 2015, 10:21 am
For more info about us, click here. [read post]
26 May 2015, 11:32 am
Specifically, according to FINRA, LPL failed to properly supervise its representative’s sale of non-traditional exchange traded funds (“non-traditional ETFs”), variable annuities, mutual funds, and illiquid or non-exchange-traded real estate investment trusts (“non-traded REITs”). [read post]
22 May 2015, 12:01 pm
DePalo is alleged to have misappropriated millions from foreign investors in a holding company called Pangaea Trading Partners LLC. [read post]
22 May 2015, 3:51 am
H/T Dan Arshack Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
11 May 2015, 4:46 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
