Search for: "E* Trade Securities LLC"
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14 Oct 2020, 5:55 am
Securities and Exchange Commission (SEC) and various other securities regulators throughout the United States and around the world. [read post]
30 Dec 2019, 5:47 am
Advisor Jeffrey Dixson (Dixson), currently employed by Madison Avenue Securities, LLC (Madison Avenue) has been subject to at least seven customer complaints and one regulatory action during the course of his career. [read post]
1 Jul 2010, 8:22 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
29 Dec 2020, 8:12 am
The excess trading enriched the broker and the agency while losing $691,800 for the clients. [read post]
26 Dec 2015, 7:07 am
The SEC’s complaint, charged DelPresto, MLF Group, LLC (MLF), and Donald Toomer, Jr. [read post]
13 Mar 2013, 5:14 am
According to reports, FINRA is investigating Tony Thompson and his broker-dealer, TNP Securities LLC, for failing to turn over documents to FINRA. [read post]
8 May 2013, 4:45 pm
FINRA recently entered into a settlement with Gar Wood Securities LLC (the “AWC”) concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to identify “suspicious” activity in a customer’s account that should have warranted the filing of a Form SAR-SF. [read post]
31 Mar 2020, 1:23 pm
Trinitas LLC, 2014 WL 4627090 (N.D. [read post]
22 Sep 2021, 12:53 pm
Morgan Securities LLC Alfredo Vazquez J.P. [read post]
11 Mar 2015, 5:40 pm
The government was assisted by the Securities and Exchange Commission. [read post]
24 Sep 2015, 8:43 am
LPL Financial LLC has agreed to pay two more settlements, and these are big ones. [read post]
26 Aug 2015, 7:56 am
From June 2009 onward Peirce was associated with RBC Capital Markets, LLC (RBC). [read post]
10 Jul 2017, 12:40 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
9 Mar 2023, 2:16 pm
LLC (CRD#:24795) of Staten Island, NY. [read post]
11 Jul 2011, 3:26 pm
The SEC settled charges that Janney Montgomery Scott LLC failed to establish and enforce policies and procedures to prevent the misuse of material, nonpublic information, as required by law. [read post]
4 Apr 2022, 8:55 am
His previous employers include Worden Capital Management LLC (CRD#:148366) of Melville, NY, Joseph Stone Capital L.L.C. [read post]
16 May 2019, 11:59 am
He was previously employed with Rockwell Global Capital LLC (CRD#:142485) and Ekn Financial Services Inc. [read post]
27 Jul 2020, 7:08 pm
Morgan Securities LLC Chase Investment Services Corp. [read post]
3 May 2021, 1:54 pm
Megurditch “Mike” Patatian (CRD# 4047060) is a former registered broker and investment advisor whose most recent employer was Supreme Alliance LLC (CRD#: 45348). [read post]
2 Mar 2021, 9:47 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
