Search for: "E* Trade Securities LLC"
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24 Jan 2020, 1:00 am
Event studies are: regression models that are most often used in 10b-5 cases at the class certification stage for two distinct but closely related purposes: (i) testing whether the market in which the relevant security traded was efficient; and, (ii) testing whether an alleged affirmative misrepresentation or corrective disclosure affected the price of the relevant security.[9] At least three unique, yet related, conditions must be… [read post]
24 Apr 2007, 3:40 pm
Prudential Equity Group, LLC The SEC charged four former Prudential Securities Inc. representatives with illegal market timing involving over 25 mutual funds. [read post]
1 Oct 2010, 12:07 pm
Over 20,000 trades across more than 300 securities were executed at prices more than 60% away from their values just moments before. [read post]
13 Nov 2018, 7:54 am
Shares of the publicly registered non-traded REIT were originally sold for $10.00 each. [read post]
13 Nov 2018, 7:54 am
Shares of the publicly registered non-traded REIT were originally sold for $10.00 each. [read post]
3 Dec 2015, 7:45 am
From August 2008, until April 2012, Snyder was registered with Spartan Capital Securities, LLC. [read post]
27 Aug 2007, 10:58 am
However, instead of a various gradations of stuffed animal you too can trade your financial security for an opportunity to win depreciating assets like plasma tvs, a 2007 Mercedes Benz , computers, Sony Play Stations, airfare for two and more! [read post]
16 May 2014, 5:15 pm
In Failure to Supervise: An Inside Perspective, securities expert witness Alan Besnoff, Securities Expert Witness & Litigation Support, LLC, writes:This article will examine the variety of steps and actions that can and should be taken by a firms’ Supervising Principal to assure that the proper degree of supervision of brokers is being performed. [read post]
9 May 2008, 8:02 am
The suit alleges that UBS AG and its subsidiaries UBS Securities and UBS Financial Services violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 by deceiving investors about the investment characteristics of auction rate securities and the auction market in which the securities are traded. [read post]
10 Apr 2015, 6:14 am
Thereafter, Anderson was associated with Pruco Securities, LLC (Pruco) from February 2012 to September 13, 2012, when Pruco terminated his employment. [read post]
CFTC and SEC May Need to Work Out Key Differences Related to Over-the-Counter Derivatives Rulemaking
31 Jan 2012, 5:48 pm
More Blog Posts: Former Texan and First Capital Savings and Loan To Pay $4.5M for Alleged Foreign Currency Ponzi Scheme, Stockbroker Fraud Blog, November 11, 2011 EagleEye Asset Management LLC Sued by SEC and CFTC for Alleged Forex Trading Scam, Stockbroker Fraud Blog, September 28, 2011 Despite Tougher Investigations, SEC is Still Letting Wall Street Firms Avoid Punishments for Financial Fraudhttp://www.securities-fraud-attorneys.com/, Institutional Investor… [read post]
27 Jan 2017, 12:52 pm
From December 2008 until December 2012, Miranda was associated with Obsidian Financial Group, LLC. [read post]
13 Feb 2017, 6:20 am
The customer complaints against Palmer allege securities law violations that claim unsuitable investments, excessive options trading, and unauthorized investments among other claims. [read post]
13 Feb 2017, 6:20 am
The customer complaints against Palmer allege securities law violations that claim unsuitable investments, excessive options trading, and unauthorized investments among other claims. [read post]
24 Jun 2020, 6:32 am
Robare entered the securities industry in 1987. [read post]
28 Aug 2018, 11:07 am
In the Tomahawk Order, the SEC found that Tomahawk’s Bounty Program constituted an offer and sale of securities because “[Tomahawk] provided TOM to investors in exchange for services designed to advance Tomahawk’s economic interests and foster a trading market for its securities. [read post]
2 May 2022, 5:37 am
Disruptive Technology Solutions LLC, a software services company, and affiliated funds, have filed a demand for arbitration against Morgan Stanley with FINRA, the federal securities industry regulator, according to The Wall Street Journal. [read post]
1 Jul 2019, 4:48 am
Hartge Smith Nonwovens, LLC, 2010-Ohio-3992 (1st. [read post]
4 Jun 2019, 10:24 am
According to the DI Wire, FS/KKR Advisor LLC, a partnership between FS Investments and KKR Credit Advisors LLC, are planning to merge four non-traded business development companies under its advisement. [read post]
15 Mar 2021, 7:13 am
He also worked with another individual to trade securities that were not offered by LPL. [read post]
