Search for: "E* Trade Securities LLC"
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19 Nov 2012, 12:26 pm
The Securities and Exchange Commission today charged Stephen A. [read post]
18 Jun 2015, 12:47 pm
In 2007, after attending an “Investools” workshop on options trading, Sharma set up Gold Coast Holding, LLC (“Gold Coast”) as a vehicle for his options trading. [read post]
13 Jul 2020, 9:36 am
AMG Capital Mgmt., LLC, 910 F.3d 417 (9th Cir. 2018), cert. granted sub nom., AMG Capital Mgmt., LLC v. [read post]
27 Dec 2016, 5:00 am
The CFTC noted that similar conduct in thinly-traded securities has been held to be manipulation. [read post]
21 Mar 2012, 9:56 am
Epstein, of SorinRoyerCooper LLC, said Morgan Stanley’s attempt to claw back $33 million was “meritless. [read post]
1 Jul 2019, 7:03 am
In March 2019 a customer filed a complaint alleging that Kolta violated the securities laws by, among other things, that Kolta made unsuitable investments, unauthorized trading, and misrepresentations causing $15,000 damages. [read post]
3 May 2010, 5:30 am
Madoff Investment Securities, LLC (“BLMIS”). [read post]
14 Sep 2022, 3:32 am
Snap Dock, LLC, Civil Action No. 2:21-cv-450-SPC-NPM (M.D. [read post]
11 Jul 2007, 12:33 pm
This orthodox investment company test defines issuers that hold themselves out, or otherwise are clearly recognizable, as investment companies.The second test is whether the issuer is engaged in the business of investing, reinvesting, owning, holding, or trading in securities and owns investment securities the value of which exceeds 40% of its total assets. [read post]
5 Oct 2015, 6:55 am
In December 2011, Henrich became associated with Obsidian Financial Group, LLC until December 2012. [read post]
12 Jul 2017, 12:57 pm
According to his Broker Check, Eubanks was registered with Bright Trading, LLC in Las Vegas, NV from 03/2010 – 08/2016. [read post]
23 Mar 2016, 9:11 am
When brokers engage in excessive trading, sometimes referred to as churning, the broker will typical trade in and out of securities, sometimes even the same stock, many times over a short period of time. [read post]
24 Oct 2022, 9:04 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]
31 Aug 2012, 6:37 am
It also provides research, sales and trading services to institutional investors. [read post]
31 Aug 2012, 6:37 am
It also provides research, sales and trading services to institutional investors. [read post]
31 Aug 2012, 6:37 am
It also provides research, sales and trading services to institutional investors. [read post]
20 Aug 2009, 8:55 am
On August 5, a lawsuit involving ETFs was filed in New York, accusing ProShare Advisors LLC and others of violating a securities act by failing to disclose the risks of its ProShares UltraShort Real Estate fund (SRS). [read post]
14 Jul 2017, 8:23 am
CION and Apollo Announce Joint Venture CION Investment Group LLC and Apollo Investment Management LP, the sponsor and sub-adviser of non-traded business development company CION Investment Corporation, are creating a joint venture where both companies will own a 50 percent interest in CION Investment Management LLC, the BDC’s adviser. [read post]
20 Feb 2015, 3:11 pm
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]
29 Jul 2022, 8:20 am
The SEC’s insider trading charges against a former Coinbase employee and two other persons allege that they illegally traded nine digital asset securities, yet the U.S. [read post]
