Search for: "US Trade and Exchange, LLC"
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8 Sep 2015, 8:07 am
Increased volatility in the markets makes leveraged products like Exchange Traded Funds (EFTs) and Exchange Traded Notes particularly risky for most individuals investors, as noted in a recent Wall Street Journal article published on September 4, 2015. [read post]
7 Jun 2010, 11:54 am
The platform - called the Alternative Investment Product (AIP) - currently is being used by Pershing LLC. [read post]
21 Feb 2014, 7:55 am
Gana LLP, a full-service nationally recognized securities litigation firm, is investigating Credit Suisse Securities (USA) LLC for underwriting and VLS Securities, LLC (VLS) for marketing the VelocityShares Daily 2x VIX Short Term Exchange Traded Notes (TVIX). [read post]
21 Jun 2012, 1:09 pm
According to the SEC, between July 2007 and January 2010, Persaud persuaded at least 14 investors to invest more than $1 million in his firm White Elephant Trading Company LLC. [read post]
22 Jun 2012, 8:05 am
The SEC alleges that Gurudeo Buddy Persaud, who used to work for Money Concepts Capital as a financial adviser, lured family, friends, and others into investing in his firm, White Elephant Trading Company LLC, by falsely guaranteeing their money would be safe and yield lofty returns ranging from 6 to 18 percent. [read post]
15 Nov 2012, 7:50 am
Texamet Recycling, LLC, Judge Michael C. [read post]
8 Mar 2022, 12:51 pm
The abbreviation for foreign currency exchange, it involves changing one currency into another, such as US dollars into Canadian dollars or Great British Pounds (GBP.) [read post]
3 Sep 2013, 8:23 am
However, not all penny stocks trade over-the-counter and many trade on securities exchanges, including foreign securities exchanges. [read post]
2 Mar 2016, 12:00 pm
Holley is merely one of dozens of insider trading defendants attempting to have their claims dismissed in light of Newman – just as Goyal is one of many attempting to use Newman to have administrative bars lifted. [read post]
22 Dec 2021, 8:36 am
One settlement is with the US Securities and Exchange Commission (SEC) and the other with the Commodity Futures Trading Commission (CFTC). [read post]
6 Oct 2015, 10:42 am
From the Desk of Jim Eccleston at Eccleston Law LLC:According to the New York Times, a Connecticut based hedge fund, Spruce Alpha LP Fund, misrepresented its performance to investors and has lost 48% of its value during the month of August 2015.Spruce Alpha, managed by Spruce Investment Advisors, was launched a year ago and reportedly used a complex and controversial trading strategy that involved derivatives to amplify returns from trading in… [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to monitor and… [read post]
14 Jul 2016, 8:09 am
The SEC OIPA recent Securities and Exchange Commission ("SEC") enforcement action alleges that investment advisory firm RiverFront Investment Group LLC, which was a registered investment adviser ("RIA") with the SEC since 2008, marketed a wrap fee program to i... [read post]
25 May 2022, 6:22 am
" Here, the exchanges argued that the rule will, among other outcomes, stifle innovation, drive order flow to "dark" trading venues, and deprive the exchanges of a source of revenue. [read post]
11 Jun 2007, 8:21 am
The Securities and Exchange Commission says that it will not grant Sky Capital LLC's request that the agency review the NASD's action against the firm. [read post]
11 Jun 2019, 11:00 am
Blankenship (the “Stock Promoter”); and River North Equity LLC, Edward M. [read post]
16 Apr 2018, 6:54 am
Last month, the Securities and Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings against Valor Capital Asset Management, LLC, a registered investment adviser, and its owner, Robert Mark Magee. [read post]
21 Jul 2021, 12:49 pm
Note: CS DISCO (LAW) began trading on the New York Stock Exchange on July 21, 2021. [read post]
17 May 2023, 11:30 am
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
27 Jan 2017, 9:11 am
Also, even if competitors don’t explicitly agree to limit or suppress compensation, the mere exchange of compensation information among employers may violate the antitrust laws if it has the effect of suppressing compensation. [read post]
