Search for: "US Trade and Exchange, LLC"
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8 Sep 2014, 6:23 am
The claims against Lewis involve unauthorized trading, which occurs when a broker sells , buys, or exchanges, securities without the prior consent or authority from the investor. [read post]
3 Sep 2014, 11:37 am
LLC v. [read post]
3 Sep 2014, 1:57 am
Instead, they'll also find themselves defending their operations against entities backed by the resources and force of foreign governments – a very unfair battle of resources.As to IV, recall the history of US 6182894 :Intellectual Ventures I LLC and Intellectual Ventures II LLC (collectively,“IV”) sued PNC Financial Services Group, Inc. and PNC Bank, N.A. [read post]
28 Aug 2014, 7:46 am
Finally, FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) requires a member in the conduct of its business to observe high standards of commercial honor and just and equitable principles of trade. [read post]
27 Aug 2014, 5:48 pm
Securities and Exchange Commission sued Sethi over the purported project in early 2013 and the case was settled earlier this year. [read post]
18 Aug 2014, 12:51 pm
An ongoing arbitration claim states that Taillon violated FINRA regulations pertaining to a Notice to Members which correlates to the sale of non-traditional, leveraged exchange traded funds (ETFs). [read post]
14 Aug 2014, 4:09 pm
The Securities Exchange Act of 1934 requires that persons engaged in the business of transacting securities for the account of others register with the SEC as securities broker-dealers. [read post]
13 Aug 2014, 6:42 am
While regular ETFs can be held for long term trading, Leveraged ETFs are generally designed to be used only for short term trading. [read post]
6 Aug 2014, 2:57 pm
Securities and Exchange Commission (“SEC“) has stated in open meetings with the United States Citizenship and Immigration Services (“USCIS“) and the Association to Invest In the USA (“IIUSA“), the trade association for the EB-5 regional center program, over the past two years that EB-5 investment offerings are subject to U.S. securities laws, even though EB-5 investments are offered primarily outside the United States to persons who by definition… [read post]
4 Aug 2014, 2:34 pm
See, Securities and Exchange Commission v. [read post]
4 Aug 2014, 8:41 am
Holloway of San Diego, California, and US Ventures, LLC of Salt Lake City, Utah. [read post]
4 Aug 2014, 4:13 am
The Latest Scandal-Driven Litigation Against Financial Services Companies: Let’s see … after the financial crisis, we had the Libor scandal, the foreign exchange trading scandal, the high frequency trading scandal and the dark pool trading scandal. [read post]
25 Jul 2014, 7:38 am
News You Can Use is a news service provided at no charge only to clients of our online Executive Source Guides, or ALERTS™ consulting clients. [read post]
22 Jul 2014, 7:00 am
Those claims involve unauthorized trading, unsuitable investments, and excessive use of margin. [read post]
21 Jul 2014, 4:30 am
Regal Assets, LLC, 2014 WL 3516252, No. [read post]
25 Jun 2014, 9:58 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
22 Jun 2014, 3:50 am
H/T Mike Paar Copyright © 2013 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
20 Jun 2014, 9:04 am
Hulu LLC. [read post]
18 Jun 2014, 7:33 am
” The complaint alleges that from 2008 until 2013, Della Penna used these three private investment funds to raise $3.8 million by telling investors that their investments would be invested into small companies or traded in securities. [read post]
4 Jun 2014, 6:38 am
The fourth strategy is currency trading, using seven currencies. [read post]
