Search for: "US Trade and Exchange, LLC"
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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]
23 May 2014, 5:05 am
HCM purportedly bought and sold exchange traded funds based on a proprietary trading strategy implemented by a computer program. [read post]
22 May 2014, 3:56 pm
Hunter Wise Commodities, LLC, Hunter Wise Services, LLC, Hunter Wise Credit, LLC, and Hunter Wise Trading, LLC and the individuals running the companies, have been ordered to pay, jointly and severally, $52.6 million in restitution to the defrauded customers and to pay a civil monetary penalty, jointly and severally, of $55.4 million, the maximum provided by law. [read post]
22 May 2014, 10:51 am
(USA) LLC, No. 12-1750, 2014 U.S. [read post]
19 May 2014, 10:29 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
6 May 2014, 4:26 pm
Legal and compliance personnel of broker-dealers and investment advisers would be well advised to use this list as a baseline for their compliance programs. [read post]
5 May 2014, 6:29 am
If you feel that you have suffered financial losses as a result of the actions of Direct Access Partners, LLC, please give us a call at 1-877-STOCK-LAW for a free consultation. ** Resources: Whistleblowertoday.com; SEC; WSJ [read post]
5 May 2014, 3:22 am
Background Deerin involves a Long Island based, New York limited liability company known as Ocean Rich Foods, LLC, which is in the business of importing and distributing seafood under the trade name Ocean Edge Foods. [read post]
21 Apr 2014, 2:44 pm
TABFG, LLC v. [read post]
