Search for: "US Trade and Exchange, LLC"
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16 Feb 2021, 12:19 pm
Use of videoconferencing to discuss trade secret protected information during remote work will make it more difficult to prove the confidentiality prong for misappropriation of trade secret claims. [read post]
16 Sep 2008, 1:24 am
Rosenthal Collins Group LLC has reached an agreement to settle Commodity Futures Trading Commission charges that it neglected to properly supervise employees and enforce compliance procedures. [read post]
23 Mar 2011, 8:58 pm
The US Securities and Exchange Commission has filed a securities fraud complaint accusing Juno Mother Earth Asset Management LLC and its founders Arturo Rodriguez and Eugenio Verzilli of looting over $1.8 million in assets from a hedge fund. [read post]
26 May 2015, 11:32 am
Specifically, according to FINRA, LPL failed to properly supervise its representative’s sale of non-traditional exchange traded funds (“non-traditional ETFs”), variable annuities, mutual funds, and illiquid or non-exchange-traded real estate investment trusts (“non-traded REITs”). [read post]
10 Aug 2020, 6:34 am
Specifically, Seed Beauty alleges that its relationship with its beauty brand partners necessarily includes the exchange of highly sensitive, confidential and trade secret information. [read post]
1 Aug 2023, 6:06 am
Online trading scams are fraudulent schemes that scam artists use to con people out of their hard earned money. [read post]
13 Feb 2010, 9:32 pm
In 2002, he made over 20 trades using that information. [read post]
7 Sep 2008, 10:46 pm
More Guilty Pleas Vacated In Probe of NYSE Trading, Wall Street Journal Prosecutors Charge 15 Traders at Stock Exchange, NY Times, April 12, 2005 [read post]
7 Oct 2013, 4:34 pm
From May 2006 until July 2010, Kelly was registered Wells Fargo Advisors, LLC. [read post]
28 Oct 2009, 11:25 pm
The New York Stock Exchange Regulation Inc. has censured and fined four firms for trade violations. [read post]
15 Aug 2022, 7:53 am
According to the SEC, during the revolving period, the AOMT 2018-PB1 notes traded in the secondary market. [read post]
15 Aug 2022, 7:53 am
According to the SEC, during the revolving period, the AOMT 2018-PB1 notes traded in the secondary market. [read post]
15 Aug 2022, 7:53 am
According to the SEC, during the revolving period, the AOMT 2018-PB1 notes traded in the secondary market. [read post]
9 Jun 2022, 11:40 am
The Securities and Exchange Commission has filed fraud charges against a Detroit-based hedge fund and its owner for allegedly engaging in a multiyear scheme that included misappropriating and misusing investors’ funds for personal use, including for jewelry, and credit card payments, and his wife’s business. [read post]
21 Apr 2015, 12:56 pm
The Securities and Exchange Commission (SEC) announced on April 16, 2015 that it filed a complaint in the United States District Court for the Southern District of New York alleging that Michael J. [read post]
26 Jul 2018, 11:40 am
Unauthorized trading is a type of investment fraud because the Securities Exchange Commission (SEC) has found that disclosures of trades being made are essential and material to an investor. [read post]
22 Nov 2022, 9:21 am
They have also allegedly participated in trade organizations which “facilitated unlawful information exchanges. [read post]
28 Mar 2017, 5:18 pm
According to the SEC release, the brokers were charged with fraudulently using an “in-and-out” trading strategy that was allegedly unsuitable for customers in order to generate large commissions. [read post]
16 Mar 2018, 7:06 am
According to news reports, other similar actions include: Atlantic Trading USA, LLC v. [read post]
14 Sep 2018, 8:00 pm
Bressman allegedly made trades using the account while cherry picking the trades that stood to be profitable. [read post]
