Search for: "US Trade and Exchange, LLC"
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22 Jun 2012, 5:42 am
The Securities and Exchange Commission ("SEC") charged a Florida man with operating a Ponzi scheme that failed to disclose to investors that the principal trading strategy would be based on the distance of the moon to the sun. [read post]
21 Jun 2012, 1:09 pm
According to the SEC, between July 2007 and January 2010, Persaud persuaded at least 14 investors to invest more than $1 million in his firm White Elephant Trading Company LLC. [read post]
Madoff Trustee Files Clawback Lawsuits Collectively Seeking Over $1B For BLMIS Feeder Fund Transfers
12 Jun 2012, 8:06 pm
They are contending that their investments are covered under US securities law protections because they are connected with Madoff’s alleged New York Stock Exchange stock trades and, as a result, “economic reality” makes their purchases equal to investments in these stocks. [read post]
12 Jun 2012, 2:00 am
In addition, the Bitrans told investors that they used quantitative optional pricing models they devised to invest in exchange-traded funds and other liquid securities but instead of making such investments, they used investor funds merely to invest in other hedge funds. [read post]
5 Jun 2012, 8:14 am
Commodity Futures Trading Commission (CFTC), and the Federal Trade Commission (FTC) Southeast Region. [read post]
5 Jun 2012, 8:14 am
Commodity Futures Trading Commission (CFTC), and the Federal Trade Commission (FTC) Southeast Region. [read post]
3 Jun 2012, 5:58 am
© 2012 Simple Justice NY LLC. [read post]
30 May 2012, 7:43 pm
With no trading returns to pay to investors, Geringer instead used funds contributed by existing investors to create the false appearance that the Fund was profitable. [read post]
24 May 2012, 6:51 am
Most of the trading volume now on the largest domestic trading exchanges is in the form of electronic trading or more precisely in the equity markets, it is in high frequency trading. [read post]
17 May 2012, 8:30 am
District Court of Utah in exchange for prosecutors dropping 25 other trade secret theft charges against him. [read post]
16 May 2012, 3:24 am
© 2012 Simple Justice NY LLC. [read post]
15 May 2012, 9:14 am
As discussed here, the Commission announced that beginning on April 19, 2012, the SEC staff will begin to republish Commission orders pursuant to Exchange Act Section 12(j) revoking a company’s Exchange Act registration and Commission stop orders pursuant to § 8 of the 1933 Act on EDGAR. [read post]
9 May 2012, 2:45 pm
International Securities Exchange, LLC (Fed. [read post]
9 May 2012, 7:13 am
Waters Capital LLC ("Waters Capital"), have been charged by the Securities and Exchange Commission ("SEC") with creating bogus private placements - Port Huron Partners LP and Port Huron Partners II LP (collectively "Port Huron Funds") - and bilking investors out of at least $780,000. [read post]
9 May 2012, 6:35 am
Beloff tells how everything had to be hush-hush in the early stages: "Under [London Stock Exchange] rules, if information concerning the proposed transaction became public, trading in Justice's shares would have been suspended," Beloff explained. [read post]
9 May 2012, 6:15 am
District Court for the Southern District of Indiana, Loparex, LLC v. [read post]
4 May 2012, 10:45 am
Colo.) and/or the US Securities and Exchange Commission Fair Fund, SEC v. [read post]
4 May 2012, 3:05 am
Contact the Federal Trade Commission to report the situation. [read post]
2 May 2012, 11:29 am
City Trading LLC (PDF) European Commission Calls for Delay in Implementation of U.S. [read post]
2 May 2012, 8:36 am
Coryn Group II, LLC v. [read post]
