Search for: "E* Trade Securities LLC"
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3 Feb 2008, 11:47 pm
" iCONECT's application and server level security were also critical factors. [read post]
10 Apr 2018, 8:18 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]
4 Aug 2020, 6:10 am
Morrow entered the securities industry in 1977. [read post]
7 Oct 2009, 6:34 am
The lenders offered a credit bid of $32 million of their outstanding secured claims (leaving a significant deficiency claim) as consideration for the asset sale. [read post]
17 Dec 2019, 1:46 pm
Burns entered the securities industry in 2000. [read post]
7 Jan 2012, 12:35 pm
went into decline after National Financial Services LLC (its clearing company) issued a margin call on accounts with collateralized mortgage obligations. [read post]
24 Oct 2022, 10:32 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 Seattle, Washington. [read post]
27 Apr 2016, 11:49 am
The customer complaints against Labarca allege securities law violations that including unsuitable investments, unauthorized trading, and breach of fiduciary duty among other claims. [read post]
13 Jan 2020, 10:51 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]
10 Jan 2020, 12:36 pm
These decisions underscore the difficulty named defendants have been having in securing attorney fees under the DTSA. [read post]
4 Nov 2014, 7:10 am
Because retail investors tend to purchase securities in smaller amounts, this minimum denomination standard helps ensure that dealer firms sell high-risk securities only to investors who are capable of making sizeable investments and more prepared to bear the higher risk.In its surveillance of trading in the municipal bond market, the SEC Enforcement Division’s Municipal Securities and Public Pensions Unit detected improper sales… [read post]
28 Mar 2014, 2:42 pm
Today, the Federal Trade Commission announced settlements with two mobile app makers that allegedly failed to provide reasonable security for the personal information collected in connection with their apps. [read post]
11 Nov 2011, 3:48 pm
Less than a month after UBS Securities, LLC agreed to pay $12M to settle Financial Industry Regulatory Authority claims of supervisory failures and violating regulation SHO in securities short sales, the broker-dealer has now consented to an $8M penalty to settle Securities and Exchange Commission charges over poor recordkeeping related to the short sales. [read post]
4 Jan 2024, 10:56 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]
23 Mar 2022, 9:44 am
According to a FINRA complaint filed on June 15, 2021, from January 2017 to December 2019, while affiliated with Spartan Capital Securities, LLC, Reda allegedly recommended to all of his customers an unsuitable investment strategy that consisted of actively trading in anticipation of corporate announcements. [read post]
12 Jan 2011, 8:00 am
For example, in 2004 Janus Capital Management LLC (“JCM”), a wholly-owned subsidiary of Janus Capital Group, Inc. [read post]
5 Oct 2022, 1:13 pm
Barancyk entered the securities industry in 2005. [read post]
3 Sep 2008, 3:36 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
16 Jul 2019, 9:04 am
More than 1,500 investors collectively invested over $350M in Aequitas securities while thinking that they were backing trade receivables in healthcare, education, transportation, and other areas. [read post]
22 Jan 2021, 7:56 am
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
