Search for: "E* Trade Securities LLC"
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11 Jun 2021, 9:20 am
Earlier this year, a surcharging ban in Kansas was struck down after CardX LLC, a surcharging-services provider, filed suit against it. [read post]
11 Jun 2021, 5:47 am
(BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
9 Jun 2021, 6:06 am
The approved rule allows a company that has not previously had its equity securities registered under the Securities Exchange Act of 1934, as amended, to list its equity securities on the Nasdaq Global Select Market at the time of effectiveness of a registration statement pursuant to which the company will sell its shares in the opening auction on the first day of trading. [read post]
8 Jun 2021, 11:29 am
., its parent company, and two of the now-defunct company’s former employees, after allegations of data security issues and deceptive trade practices. [read post]
7 Jun 2021, 12:31 pm
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
4 Jun 2021, 7:49 am
The firm filed a complaint with the Federal Trade Commission and per its guidance also emailed a screen shot of the contact form to the Anti-Phishing Working Group at apwg.org. [read post]
4 Jun 2021, 7:49 am
The firm filed a complaint with the Federal Trade Commission and per its guidance also emailed a screen shot of the contact form to the Anti-Phishing Working Group at apwg.org. [read post]
3 Jun 2021, 1:04 pm
Flower was associated with Spartan Capital Securities, LLC since June 2019. [read post]
3 Jun 2021, 6:20 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]
2 Jun 2021, 5:56 am
According to New Jersey, certain First Standard agents engaged in unsuitable and frequently unauthorized in-and-out trading in bonds and other securities for which active trading is unsuitable in customer accounts. [read post]
1 Jun 2021, 1:29 pm
Lake Street Capital Markets, LLC and B. [read post]
1 Jun 2021, 9:43 am
Securities and Exchange Commission (“SEC”). [read post]
31 May 2021, 1:11 pm
From June 2008 through September 2016 Houser was registered with LPL Financial LLC. [read post]
30 May 2021, 1:44 am
In a dispute reportedly initiated against the broker in August 2019, the customer alleged that during a six-month period beginning January 2019, while Thurnherr was registered with Winston Hill Capital, LLC, he was engaging in unsuitable trading, wrongful over-concentration, unauthorized trading and fraud and failure to supervise. [read post]
30 May 2021, 1:44 am
In a dispute reportedly initiated against the broker in August 2019, the customer alleged that during a six-month period beginning January 2019, while Thurnherr was registered with Winston Hill Capital, LLC, he was engaging in unsuitable trading, wrongful over-concentration, unauthorized trading and fraud and failure to supervise. [read post]
29 May 2021, 1:33 am
In Coral Springs, Florida, Dellaporta was registered with Fusion Analytics Securities LLC from August 2015 until August 2018. [read post]
29 May 2021, 1:33 am
In Coral Springs, Florida, Dellaporta was registered with Fusion Analytics Securities LLC from August 2015 until August 2018. [read post]
28 May 2021, 1:17 pm
James Childress LPL Financial LLC Securities Service Network, Inc. [read post]
28 May 2021, 12:19 pm
Jason Anderson Merrill Lynch, Pierce, Fenner & Smith Incorporated LPL Financial LLC Solomon Apprey Pruco Securities, LLC AXA Advisors, LLC Ronald Bartsch Union Capital Company Liberty Partners Financial Services, LLC Spyridon Chandrinos Millennium Advisors, LLC Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner… [read post]
28 May 2021, 8:02 am
Allstate Financial Services, LLC Dorinda Lumpkin BBVA Securities Inc. [read post]
