Search for: "E* Trade Securities LLC"
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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]
21 Jun 2022, 4:07 am
In short, there are trade-offs associated with using either a trust or an LLC. [read post]
27 Dec 2016, 3:19 pm
© 2016 Vandenack Weaver LLC For more information, Contact Us [read post]
7 Jun 2021, 12:31 pm
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]
20 May 2019, 11:02 am
Lyons, LLC (CRD#:453) of Louisville, KY. [read post]
5 Dec 2020, 12:00 am
The post Tips For Protecting Trade Secrets During This Work-From-Home Era appeared first on Rubric Legal LLC. [read post]
23 Apr 2021, 4:31 pm
Continue reading The post Independent Financial Group, LLC Fined by FINRA Over Supervisory Violations appeared first on Securities Arbitration Lawyer Blog. [read post]
28 May 2020, 2:20 pm
Given plaintiff’s status as an artificial entity (an LLC), Judge Middlebrooks provided it 21-days to secure replacement counsel. [read post]
7 Jan 2022, 11:54 am
FINRA Mulls A Defaulted Bond's Worth (BrokeAndBroker.com Blog)Federal Indictment Charges Chicago Attorney With Insider Trading (DOJ Release)SEC Charges Two Friends and Former Business Associates with Insider Trading (SEC Release)FINRA Censures and Fines E*TRADE for Supervision LapsesIn the Matter of E*TRADE Securities LLC, Respondent (FINRA AWC)What to Expect: CE Transformation & Maintaining Qualifications… [read post]
19 Aug 2020, 12:33 pm
Morgan Securities LLC (CRD #79, New York, New York) was censured, fined $325,000 and ordered to pay $333,619.34, plus interest, in restitution to customers in connection with the sales of volatility-linked exchange traded products (volatility ETPs). [read post]
17 Jul 2012, 7:29 pm
Commodity Futures Trading Commission is charging TC Credit Service, LLC, doing business as Del-Mair Group, LLC), and its owner Christopher D. [read post]
3 Nov 2022, 11:41 am
To learn more about Western International Securities please see: Western International Securities Customer Complaints & Regulatory Actions 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]
22 Dec 2009, 1:42 pm
In Electronic Trading Group, LLC v. [read post]
25 Feb 2008, 4:12 pm
Former Credit Suisse Securities USA LLC investment banker Hafiz Naseem says he will appeal his conviction for insider trading charges, which include 1 count of conspiracy and 28 counts of securities fraud involving stolen nonpublic data allegedly used for insider trading that generated at least $7.5 million. [read post]
16 Jul 2010, 8:15 pm
The money manager of the Nevis LLC can send monthly statements and trade confirmations if requested. [read post]
21 Sep 2018, 7:48 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]
2 Jan 2018, 12:24 pm
Financial analytics firm Novantas, Inc. and two individual defendants closed out 2017 with a victory, securing the dismissal of claims by rival First Manhattan Consulting Group LLC (“First Manhattan Consulting Group”) [1], which accused them of competing unfairly by poaching First Manhattan Consulting Group’s employees in order to steal its trade secrets. [read post]
24 Jan 2013, 6:00 am
If a couple who owns a large estate, estimated at $20 million, in publicly traded securities and income-producing real estate would like to bequeath their estates to their children without incurring a large estate tax and provide some of their... [read post]
11 Nov 2017, 9:05 am
Rehak is currently registered with LPL Financial LLC (LPL Financial). [read post]
7 Aug 2018, 7:04 am
As set forth in part in the DOJ Press Release:[B]lumberg admitted that clients placed orders to buy or sell securities with G-Trade Services LLC and ConvergEx Limited, subsidiaries of ConvergEx Group that offered global trading services to clients, which in turn routed orders to CGM Limited... [read post]
