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2 Nov 2012, 7:19 am
Wells Fargo, FINRA ID # 11-00484, the Claimants, James and Linda Bordas filed an arbitration claim against Wells Fargo Advisors, LLC and Ernest Coffindaffer for unsuitability, unauthorized trading, forgery, misrepresentation, fraud, negligence, breach of fiduciary duty, violations of the Securities and Exchange Act of 1934 and Rule 10b-5, respondeat superior, failure to supervise, and breach of contract. [read post]
30 Oct 2012, 7:57 am
The SEC found that LeveL ATS violated Regulation ATS under the Securities Exchange Act of 1934 by failing to protect the confidential trading information of its subscribers and failing to disclose to all subscribers that it allowed an outside firm to use its confidential trading information. [read post]
24 Oct 2012, 1:45 pm
Historically, the non-voting shares traded at a discount relative to the trading price of the common shares. [read post]
23 Oct 2012, 9:46 am
Cir. 2005) (hat tip Bill Shea)- fair use (copyright). [read post]
18 Oct 2012, 10:03 pm
Meantime, eBX LLC, a dark pool operator, must pay $800,000 to settle Securities and Exchange Commission allegations that it did not keep subscribers’ information confidential. eBX LLC runs an alternative trading system LeveL ATS. [read post]
9 Oct 2012, 3:53 pm
A few days later, Australia and New Zealand Banking Group Ltd. agreed to pay $350K over allegations that they violated cotton and wheat futures speculative position limits when trading on the Intercontinental Exchange US and the Chicago Board of Trade. [read post]
1 Oct 2012, 3:00 am
Please contact us if you would like us to add your event to this list. **** October 1 Buy Cialis discount prices cialis uk Sponsor: SIFMA Event: Municipal Bond Summit Location: New York, NY October 1-2 Sponsor: Schwartz Tilson Event: Value Investing Congress Location: New York, NY October 1-2 Sponsor: FRA Event: Hedge Fund Operational Due Diligence Summit Location: New York, NY October 1-2 Sponsor: Brighton House Event: BHA Select Hedge Funds: 2012 Location: Boston, MA … [read post]
26 Sep 2012, 7:34 pm
However, not only did Alleca sustain financial losses when he allegedly opted to instead use investors money to engage in securities trading, but also he then hid the losses, made the fraud worse, and sustained even more losses. [read post]
19 Sep 2012, 5:40 am
http://bit.ly/Qik4XF (Russell Miller) Vendor Views Industry Landscape17a-4 llc Announces Phyllis L. [read post]
7 Sep 2012, 11:01 am
Securities and Exchange Commission. [read post]
4 Sep 2012, 9:12 pm
Xstrata is traded on the London Stock Exchange, and under UK regulation, if Glencore fails in its takeover bid it will likely be prohibited from making another offer for 12 months, but it appears that Glencore will not make an improved offer. [read post]
4 Sep 2012, 10:07 am
A few months ago, we had exchanged emails regarding cases applying Section 230 to linking to defamatory content, and we found that the topic was a little more confusing than either of us expected. [read post]
30 Aug 2012, 9:48 pm
A cease-and-desist and administrative proceedings order was recently instituted by the Securities and Exchange Commission against Hunter, who allegedly misappropriated money from his brokerage customers and, in turn, used the funds to pay personal expenses. [read post]
30 Aug 2012, 9:48 pm
A cease-and-desist and administrative proceedings order was recently instituted by the Securities and Exchange Commission against Hunter, who allegedly misappropriated money from his brokerage customers and, in turn, used the funds to pay personal expenses. [read post]
29 Aug 2012, 12:10 pm
Whitman, who is a Whitman Capital LLC portfolio manager, was charged with using insider trading tips to trade in Marvell Technology Group Ltd. [read post]
24 Aug 2012, 1:29 pm
Both sides appealed that ruling to the five member Federal Trade Commission. [read post]
24 Aug 2012, 10:53 am
The emails indicated that JPMorgan had provided a $105 million line of credit to the hedge fund that it used to facilitate its late trading in mutual funds. [read post]
20 Aug 2012, 2:28 pm
” (quoting the Hawaii Supreme Court in BlueEarth Biofuels, LLC v. [read post]
20 Aug 2012, 2:28 pm
” (quoting the Hawaii Supreme Court in BlueEarth Biofuels, LLC v. [read post]
20 Aug 2012, 9:40 am
The Securities and Exchange Commission ("SEC") has charged Rex Venture Group, LLC ("Rex") d/b/a ZeekRewards.com and its principal, Paul Burks of Lexington, North Carolina, with fraud in connection with an alleged $600 million Ponzi scheme. [read post]
