Search for: "E* Trade Securities LLC"
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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]
27 Jan 2017, 12:52 pm
From December 2008 until December 2012, Miranda was associated with Obsidian Financial Group, LLC. [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]
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]
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]
9 Aug 2024, 12:24 pm
Berg, who most recently was registered with the brokerage firm Innovation Partners, LLC. [read post]
5 Nov 2011, 7:26 pm
Banco Espirito Santo To Pay Nearly $7 Mln To Settle SEC Charges, The Wall Street Journal, October 24, 2011 Portugese Bank Agrees to $7M Settlement With SEC Over Alleged Registration Breaches, BNA Broker-Dealer Compliance Report More Blog Posts: President Obama Supports Senate Bill Raising SEC Registration Exemption to $50M, Institutional Investor Securities Blog, September 16, 2011 Dodd-Frank Reforms Will Lower Deficit by $3.2B Over the Next Decade, Estimates… [read post]
25 Apr 2012, 10:50 am
In May 2011, the SEC adopted final rules to implement Section 922 of the Dodd-Frank Act regarding securities whistleblower incentives and protection. [read post]
21 Oct 2022, 6:30 am
Tuttle, Debevoise & Plimpton LLP, on Monday, October 17, 2022 Tags: Disclosure, Insider trading, Pay for performance, SEC, Securities Act, Securities fraud, Securities litigation ESG Reporting: Asset Managers Express Divergent View Posted by Lindsey Stewart, Morningstar, Inc., on Monday, October 17, 2022 Tags: advisory board, Board of Directors, ESG, Liability standards, regulatory requirements, Sustainability The Valuation… [read post]
27 Nov 2023, 8:22 am
(CRD#:39262), Woodland Hills, CA, B, 07/10/2019 – 12/23/2019, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY B, 08/21/2017 – 07/10/2019, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
10 Nov 2020, 8:08 am
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 Franklin, Tennessee. [read post]
1 Sep 2015, 7:35 am
Such trading occurs when a broker sells securities without the prior authority from the investor. [read post]
20 Dec 2018, 10:19 am
(CRD #17587) and LPL Financial LLC (CRD #6413), also of Pacific Grove, CA. [read post]
11 Mar 2016, 8:35 am
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
6 Mar 2021, 8:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Bruce Ciallella (Ciallella), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints during the course of his career. [read post]
20 Jun 2013, 5:01 pm
Seth Beoku Betts, 37, Boynton Beach, Florida, a principal of Betts and Gambles Global Equities, LLC, was arrested on the charge of wire fraud for operating an investment scheme whereby he promised investors funds would be used for the purposes of trading in collateralized mortgage obligations. [read post]
24 Dec 2019, 8:01 am
Andrew Stanley Krakauer (CRD: 1613159) is a registered broker and investment advisor employed by AXA Advisors, LLC (CRD#: 6627) of Woodbury, NY. [read post]
8 Dec 2017, 8:13 am
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 Vero Beach, Florida. [read post]
