Search for: "US Trade and Exchange, LLC"
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2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
2 May 2012, 5:52 am
Compiled from online public domain resources, provided for your review/use is this week's update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and announcements. [read post]
2 May 2012, 5:00 am
• UK Bribery Act - How will it apply to US foreign offices? [read post]
25 Apr 2012, 1:25 pm
Under the terms of the agreement, the Virginia Department of Transportation will maintain ownership of the infrastructure and the private venture will finance and build the facilities, as well as operate and maintain them for a 58-year period in exchange for the right to collect toll revenue from traffic using the tunnel. [read post]
25 Apr 2012, 10:25 am
Beatport, LLC, 2012 WL 872574 (D. [read post]
25 Apr 2012, 4:56 am
Apple, Amazon, but not Google – bit.ly/HO8cYt (Peter Vogel) Why Good Compliance Programs Are Essential Under The FCPA And UK Bribery Act – bit.ly/I5Qc1Y (William Roberts, John Shane) Vendor Views Industry Landscape 17a-4 LLC’s DataParser™ 7.0 for Lync with GroupChat – bit.ly/I82c2J (PR Web) AccessData Unveils New Version of MPE+ Software – on.mktw.net/HT6SIu (Business Wire) BeyondRecognition Announces Image-Based Document Clustering Technology… [read post]
23 Apr 2012, 7:08 am
But if this battle has taught us anything, it is to expect the unexpected. [read post]
23 Apr 2012, 5:00 am
First, they told potential investors that the pre-inception performance track records since 1998 were based on actual trades using real money. [read post]
21 Apr 2012, 12:42 pm
He decided to leave Goldman and join Teza Technologies, LLC, a financial firm in Chicago with plans to develop its own HFT system. [read post]
10 Apr 2012, 11:33 am
RadLAX Gateway Hotel, LLC v. [read post]
10 Apr 2012, 1:13 am
According the firm’s press release, BlackRobe aims to invest in lawsuits in exchange for a share of the recovery. [read post]
10 Apr 2012, 1:13 am
According the firm’s press release, BlackRobe aims to invest in lawsuits in exchange for a share of the recovery. [read post]
31 Mar 2012, 8:17 pm
The findings stated that Dooley recommended purchase speculative exchanged-traded funds (ETFs) designed from intra-day trading when he knew customers' investment objections were growth and income as opposed to speculative day trading. [read post]
27 Mar 2012, 5:35 am
[JURIST] The US Supreme Court [official website] ruled [opinion, PDF] unanimously Monday in Credit Suisse Securities LLC v. [read post]
26 Mar 2012, 2:00 am
High-speed firms use direct feeds from exchanges that can give them a leg up on slower traders, critics say. [read post]
21 Mar 2012, 1:08 pm
The Federal Trade Commission (FTC) has released a report regarding its stepped-up FDCPA enforcement over the past year. [read post]
20 Mar 2012, 7:17 am
Welsh III with attempted manipulation of palladium and platinum futures contracts prices traded on the New York Mercantile Exchange. [read post]
17 Mar 2012, 4:17 pm
The Securities and Exchange Commission says that it has reached a securities settlement in its administrative proceeding against SharesPost. [read post]
14 Mar 2012, 7:24 am
The key components of this rule are that the adviser use reasonable diligence in the account maintenance, and that the adviser know (and retain) the essential facts concerning the customer’s account. [read post]
5 Mar 2012, 2:08 am
Many institutions will not own stock that is trading under $5 per share. [read post]
