Search for: "E* Trade Securities LLC"
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24 Sep 2014, 6:00 am
Strategic Capital Group LLC, which is additionally charged with distributing false and misleading advertisements to investors, agreed to pay nearly $600,000 to settle the SEC’s charges. [read post]
8 Mar 2018, 2:37 pm
This non-traded BDC invests primarily in first lien senior secured debt, second lien secured debt, and certain subordinated debt of middle market companies with annual revenue between $50 million and $1 billion. [read post]
18 Apr 2017, 2:35 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
29 May 2012, 9:05 pm
Realtime Data, LLC v. [read post]
4 Jun 2019, 9:42 am
The Commission has previously charged issuers in settled cases alleging violations of these requirements, including Munchee Inc., Gladius Network LLC, Paragon Coin Inc. and CarrierEQ Inc. d/b/a Airfox. [read post]
2 Jun 2022, 9:36 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 and Seattle, Washington. [read post]
31 Jan 2019, 9:54 am
Peter Michael Malis (CRD #317892) is a registered broker and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Woodland Hills, CA. [read post]
17 Dec 2008, 5:34 pm
Madoff, who is the founder of Bernard L Madoff Investment Securities, LLC and the former chairman of Nasdaq, was arrested and charged with securities fraud last week. [read post]
8 Aug 2018, 12:10 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]
15 May 2024, 1:32 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
8 Jan 2016, 10:02 am
Capital Advisors LLC, an entity founded and controlled by Cohen. [read post]
8 Feb 2017, 6:34 am
Since March 2015, Murphy has been registered with Revere Securities LLC out of the firm’s Boca Raton, Florida office location. [read post]
8 Feb 2017, 6:34 am
Since March 2015, Murphy has been registered with Revere Securities LLC out of the firm’s Boca Raton, Florida office location. [read post]
10 Dec 2020, 7:49 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]
21 Jul 2017, 8:52 am
He is currently employed at Wells Fargo Clearing Services, LLC and has been employed there since January 2013. [read post]
25 Feb 2010, 8:40 pm
Madoff Investment Securities, LLC (“BLMIS”). [read post]
3 Dec 2014, 7:05 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned brokerage firm Genworth Financial Securities Corporation (Genworth) n/k/a Cetera Financial Specialists, LLC (Cetera) concerning allegations that from July 2009, through June 2012, the firm failed to establish a supervisory system and enforce written supervisory procedures designed to identify and prevent unsuitable excessive trading… [read post]
20 Apr 2015, 7:14 am
Morgan Securities LLC (JP Morgan), accusing him of stealing at least $20 million from customers to fund his own brokerage accounts and then spending the majority of the money in highly unprofitable options trading. [read post]
