Search for: "E* Trade Securities LLC"
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12 Jan 2024, 8:56 am
While their conduct may have earned them tens of millions of dollars on low-risk trades, it violated the federal securities laws. [read post]
19 Jul 2021, 5:55 am
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]
2 Oct 2015, 6:10 am
Recently, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed a proposed rule change with the Securities and Exchange Commission to amend the NYSE Listed Company Manual (the “Manual”), effective September 28, 2015. [1] The proposed amendments (i) expand the pre-market hours during which companies with listed securities are required to notify the Exchange prior to… [read post]
11 Jul 2023, 1:20 pm
Think of an EIN number like a Social Security number for your LLC. [read post]
15 Feb 2021, 9:48 am
Continue reading The post Arive Capital Markets Broker, Mirsad Muharemovic, Accused of Churning, Excessive Trading, and High-Pressure Sales Tactics appeared first on Securities Arbitration Lawyer Blog. [read post]
24 Oct 2023, 1:17 pm
The Securities and Exchange Commission today charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
9 Sep 2022, 12:36 pm
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 Seattle, Washington. [read post]
2 Oct 2016, 5:51 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Allegis Investment Services, LLC and its affiliated investment advisory firm Allegis Investment Advisors, LLC (Allegis) concerning unsuitable trading involving options. [read post]
11 Apr 2023, 11:53 am
Securities, LLC. [read post]
9 Jul 2021, 10:20 am
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]
21 Apr 2015, 12:56 pm
It does not appear that the SEC has brought any charges against JP Morgan Securities LLC. [read post]
31 May 2023, 1:03 pm
appeared first on Zamansky LLC. [read post]
30 Sep 2020, 9:54 am
Belgard Capital Fund, LLC, Securities Investigation The White Law Group is investigating potential securities claims involving broker dealers who may have unsuitably recommended Belgard Capital Fund, LLC to investors. [read post]
29 Aug 2012, 7:55 am
Earlier this week, Wyndham Hotels & Resorts LLC moved to dismiss the complaint filed against it by the Federal Trade Commission in connection with Wyndham’s data security practices, asserting that the FTC has neither the authority nor the expertise to regulate them. [read post]
11 Nov 2010, 11:26 am
Chinese company ENN Energy Trading Co., Ltd. and Sabine Pass Liquefaction, LLC, a subsidiary of Cheniere Energy Partners, L.P., have signed a Memorandum of Understanding allowing the parties to negotiate definitive agreements for ENN Energy Trading to secure bi-directional LNG processing capacity at the Sabine Pass facility. [read post]
13 Sep 2023, 6:06 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
12 Apr 2021, 6:36 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Felipe Henao Vargas (Henao), currently employed by Insigneo Securities, LLC (Insigneo Securities), has been accused by a customer of investing in a VIX related investment. [read post]
28 Dec 2011, 11:55 am
(BNYM) recently settled a joint investigation into manipulative trading of auction rate securities as facilitated by employees of Mellon Financial Markets LLC (MFM), a subsidiary of BNYM by the New York Attorney General,... [read post]
9 Mar 2011, 3:01 pm
On March 8, 2011, the SEC obtained an emergency court order freezing the assets of Jason Bo-Alan Beckman and his registered investment advisory firm Oxford Private Client Group, LLC, for their role in a massive foreign currency trading scheme that... [read post]
13 Sep 2010, 1:06 pm
FINRA announced that it has censured and fined New York-based Trillium Brokerage Services, LLC, $1 million for using an illicit high frequency trading strategy and related supervisory failures. [read post]
