Search for: "E* Trade Securities LLC"
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13 Dec 2022, 11:56 am
The Securities and Exchange Commission (SEC) Tuesday brought civil charges against Samuel Bankman-Fried, CEO and co-founder of the crypto trading platform FTX Trading Ltd. [read post]
17 Sep 2015, 7:27 am
Currently, Batchen is a registered representative of Uhlmann Price Securities, LLC. [read post]
22 Mar 2024, 9:07 am
According to FINRA, the securities regulator, Bucher was registered with FINRA as a General Securities Representative through an association with Pinnacle Investments, LLC (CRD No. 142910) from November 2019 until July 13, 2023. [read post]
16 Sep 2016, 9:44 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
23 Sep 2009, 11:10 am
Madoff Investment Securities, LLC (BMIS) had any financial interest or other improper connection with Madoff or his family that influenced their conduct. 2, The former SEC Assistant Director's "romantic relationship" with Madoff's niece did not influence the conduct of SEC examinations of Madoff or his firm. 3. [read post]
24 Oct 2018, 10:15 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 Vero Beach, Florida. [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]
14 Jan 2017, 6:49 am
(Sterne Agee) and Interactive Brokers LLC (Interactive Brokers) alleging that the firms failed to supervise Mustaphalli’s misconduct. [read post]
18 Jul 2024, 12:48 pm
Client requests damages of $ $336,002.44, alleging violations of the NC Securities Act, as well as unfair or deceptive trade practices, fraudulent representation and breach of fiduciary duty. [read post]
18 Apr 2017, 10:37 am
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]
6 Feb 2019, 1:15 pm
” These investments included risky, non-traded real estate investment trusts (REITs.) [read post]
16 Mar 2018, 11:51 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 Vero Beach, Florida. [read post]
21 Oct 2014, 10:17 am
Department of Justice announced that a cyber intelligence data-sharing platform known as TruSTAR, developed by CyberPoint International, LLC, passed antitrust muster. [read post]
17 Jun 2024, 3:16 pm
Commodity Futures Trading Commission (CFTC) announced that Trafigura Holding LLC agreed to pay $55 million to settle allegations of fraud, market manipulation, and impeding the ability of employees to blow the whistle. [read post]
11 Nov 2022, 9:39 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Eddy Chou Inspire Advisors, LLC Ameriprise Financial Services, LLC Kara Gagnon Global Atlantic Distributors, LLC MetLife Investors Distribution Company Johana Jimenez Derick Stickland Allstate Financial Services, LLC FINRA makes this information available, in part, to inform investors about… [read post]
15 May 2012, 9:14 am
Today, the Federal Securities Law Blog takes a look back at the last 30 days in the federal securities world in a regular feature which appears on approximately the 15th of each month. [read post]
13 Aug 2014, 6:42 am
While regular ETFs can be held for long term trading, Leveraged ETFs are generally designed to be used only for short term trading. [read post]
13 Jun 2024, 11:21 am
From August 2016 to October 2023, she was reportedly associated with Pruco Securities, LLC (CRD No. 5685) as a General Securities Representative. [read post]
1 Nov 2012, 8:30 am
Remanufacturing & Design Group, LLC, 730 S.E. 2d. 708 (Ga. [read post]
24 Oct 2018, 4:33 pm
Instead, the EDGAR hackers who traded would be charged with “outsider trading,” a much more nascent and far more dangerous securities fraud variant. [read post]
