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19 Nov 2013, 5:32 am
While there is no single precise formula for determining when excessive trading has occurred measures such as turnover rate and cost to equity ratio (also known as the breakeven ratio), commission to equity ratio, and the number of days a security is held have been used to evaluate account trading. [read post]
5 Nov 2013, 6:03 am
Investors in the Merrill Lynch Systematic Moment FuturesAccess LLC fund lost $135.3 million from 2009 to 2012 after fees were deducted. [read post]
4 Nov 2013, 5:18 am
Further, FINRA found that Hotton lost millions of dollars in customer accounts by engaging in fraudulent churning and excessively trading client accounts, exercising discretion without authorization, trading without authorization, and recommending unsuitable transactions in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, NASD Rules 2120, 2310, 2510, IM-2310-2, and 2110, and FINRA Rules 2020 and 2010. [read post]
3 Nov 2013, 8:05 pm
As Dennis explains, Antigua filed a WTO dispute complaining that the US action was a trade violation and, the WTO panel agreed with Antigua. . . . [read post]
3 Nov 2013, 6:15 am
Georgia–Pacific LLC, 2013 WL 2435565 (N.Y. [read post]
30 Oct 2013, 8:00 am
Section 806, captioned “Whistleblower protection for employees of publicly traded companies,” spelled out an anti-retaliation provision applicable to publicly traded companies or firms with stock traded on national exchanges. [read post]
16 Oct 2013, 11:45 am
The Investment News article also stated that, according to data filed with the US Securities and Exchange Commission and compiled by Bloomberg, 89% of the 11.51 billion of gains in 63 managed-futures funds went to fees, commissions and expenses during the decade form Jan1, 2003 to Dec. 31, 2012. [read post]
16 Oct 2013, 7:31 am
UBS Puerto Rico GNMA & US Government, Inc. [read post]
10 Oct 2013, 7:11 am
JCI is accused of violating FINRA Rule 2020 and Rule 10b-5 of the Securities and Exchange Act of 1934 by taking part in pre-arraigned trades and improperly placing Fibrocell securities in the accounts of JCI customers. [read post]
9 Oct 2013, 7:00 am
Turner & Company, LLC. [read post]
7 Oct 2013, 4:34 pm
From May 2006 until July 2010, Kelly was registered Wells Fargo Advisors, LLC. [read post]
30 Sep 2013, 1:56 pm
Examples of such behavior include misleading statements about company filings used to sell securities and insider trading. [read post]
25 Sep 2013, 3:32 pm
” The case is Brian Lichtenberg, LLC v. [read post]
3 Sep 2013, 8:23 am
However, not all penny stocks trade over-the-counter and many trade on securities exchanges, including foreign securities exchanges. [read post]
3 Sep 2013, 3:30 am
The tax code permits a property owner to defer taxes on the gain from a sale of property used in a trade or business or for investment if, within 180 days, the sale proceeds are reinvested in similar property. [read post]
30 Aug 2013, 9:43 am
Trading Technology ("TT") owns a series of related patents generally pertaining to software for electronic trading on a commodities exchange. [read post]
23 Aug 2013, 8:49 am
Seagate Tech., LLC v. [read post]
7 Aug 2013, 6:30 am
(Harbinger Group), a publicly traded investment company, announced that the US Securities and Exchange Commission (SEC) had rejected an agreement in principle that Harbinger Group had reached with the staff of the SEC’s Enforcement Division. [read post]
4 Aug 2013, 5:30 am
http://t.co/wCzvR3JTCE -> "Insurer has duty to defend in alleged trademark counterfeiting case" http://t.co/68ITMApq8r -> Action for deceit for failure to pay royalties under a license affirmed in XY, LLC v. [read post]
31 Jul 2013, 5:10 pm
The four plan sponsors are closely affiliated with Lexington-based Revstone Industries LLC and Spara LLC. [read post]
