Search for: "US Trade and Exchange, LLC"
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20 Nov 2011, 6:21 pm
The majority of investor funds were instead used for non-trading purposes, including the payment of $12.5 million to existing investors in the form of purported returns. [read post]
16 Nov 2011, 6:00 am
The Denver-based defendants have been charged with fraudulently soliciting over a million dollars from customers to trade foreign exchange (forex) in pooled and managed trading accounts via their proprietary trading system. [read post]
14 Nov 2011, 6:00 am
Rakotonanahary used some funds to pay personal expenses, and the rest the defendants used to make Ponzi payments to other clients. [read post]
11 Nov 2011, 1:20 am
Hicks (“Hicks”) and Locust Offshore Management, LLC (“LOM”). [read post]
7 Nov 2011, 6:30 am
However, little or none of the money invested was used to trade forex. [read post]
5 Nov 2011, 7:26 pm
The SEC says that by acting as an unregistered investment adviser and broker-dealer BES violated sections of the Exchange Act and the Advisers Act. [read post]
5 Nov 2011, 7:27 am
Beginning in at least 2008, Kim operated Liquid Capital Management, LLC ("Liquid Capital"), which purported to trade commodity futures. [read post]
5 Nov 2011, 5:22 am
© 2011 Simple Justice NY LLC. [read post]
4 Nov 2011, 10:48 am
In a specific example, UBS improperly treated short sales in exchange traded funds, or ETFs, as exceptions to the locate requirement because of incorrectly programmed trading systems. [read post]
3 Nov 2011, 8:21 am
Search the Internet and check public records and trade group memberships. [read post]
2 Nov 2011, 4:51 am
Compiled by @ComplexD 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]
31 Oct 2011, 12:36 pm
The broker dealer of equity, derivatives, commodities, and foreign exchange belongs to over 70 financial exchanges and was one of the main dealers allowed to trade US government securities with the New York Fed. [read post]
29 Oct 2011, 3:26 am
© 2011 Simple Justice NY LLC. [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
21 Oct 2011, 2:03 pm
While there, he was involved in one customer dispute for andquot;unsuitable concentration,andquot; in exchanged traded funds, according to FINRA public disclosure records. [read post]
20 Oct 2011, 3:20 am
© 2011 Simple Justice NY LLC. [read post]
19 Oct 2011, 3:00 am
” Gryphon Internet, LLC v. thank you corp. / Jon Shakur, FA1108001405610 (Nat. [read post]
14 Oct 2011, 6:37 am
Of those millions, approximately $17.5 million were actually used to trade forex. [read post]
13 Oct 2011, 7:58 pm
Some of the investors’ funds that went into the Ponzi scam were also allegedly used to buy Interlink-US-Network, Ltd., which was a publicly traded company. [read post]
13 Oct 2011, 8:30 am
The plaintiff (in a trade dress action) sought spoliation sanctions because certain Facebook pages were not preserved. [read post]
