Search for: "US Trade and Exchange, LLC"
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23 Nov 2015, 6:14 am
The SEC alleged that Jacob was informed of investment risks of certain exchange traded funds but failed to disclose these risks to clients and told them that the investment strategy he was using was safe, carried low or no risk, and would produce predictable profits when in fact it was not. [read post]
30 Jun 2020, 11:20 am
In New York Stock Exchange LLC v. [read post]
13 Aug 2012, 5:00 am
Madoff Investment Securities LLC. [read post]
13 Aug 2012, 5:00 am
Madoff Investment Securities LLC. [read post]
29 Jun 2012, 12:01 pm
ICE Trade Vault, a unit of Intercontinental Exchange Inc. [read post]
1 Oct 2015, 4:34 am
By Jacquelyn LumbHigh-frequency trading firm, Latour Trading LLC, has settled SEC charges that it violated the market access rule and Regulation NMS, which resulted in its receipt of executions and exchange rebates that it should not have received and that other market participants might have received were it not for Latour’s violations. [read post]
23 Aug 2011, 12:30 pm
This money, to be transferred from one pool to another, was used for purposes other than trading, according to the brief. [read post]
5 Feb 2014, 8:44 am
This post is based on an excerpt from the Shareholder Director Exchange (SDX) Protocol, a framework to guide engagement between directors, which is sponsored by Cadwalader, Wickersham & Taft LLP, Teneo Holdings, LLC, Tapestry Networks, Inc. and the participating directors and investor representatives of the SDX™. [read post]
2 Jan 2024, 11:26 am
They are cash-settled, resulting in cash payments rather than exchanging securities like index futures. [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]
14 May 2009, 1:45 pm
Securities and Exchange Commission. [read post]
14 Aug 2008, 1:37 pm
"After he left IDX, Evans then used the Exchange software to finish the work IDX had begun for each client. [read post]
6 Jan 2016, 9:45 am
From the Desk of Jim Eccleston at Eccleston Law LLC:On December 11, the SEC approved the proposal of a new rule to limit the use of derivatives in registered mutual funds, exchange-traded funds, closed-end funds, and business development companies. [read post]
11 Apr 2024, 10:55 am
Morgan Securities LLC. [read post]
23 May 2022, 5:45 pm
LLC (AGI US) and three former senior portfolio managers with a massive fraudulent scheme that concealed the immense downside risks of a complex options trading strategy they called “Structured Alpha. [read post]
26 Sep 2022, 12:20 pm
StockX LLC, Case No. 1:22-cv-00983, regarding trade mark infringement [read post]
11 Oct 2023, 8:21 am
UBS Securities, LLC, in which the court was asked to consider whether publicly traded companies can discriminate against employees who report wrongdoing within the company. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
12 Mar 2007, 7:06 am
Morgan Stanley says that they are angered that a former employee allegedly stole certain confidential information, which was used in the alleged insider trading scheme. [read post]
