Search for: "E TRADE SECURITIES LLC"
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30 Dec 2010, 9:11 am
"[H]e's the sales guy and so far he hasn't gotten the whole picture," she said, according to the complaint. [read post]
30 Sep 2009, 7:51 am
He helped the government gather enough information to charge Holzer; Jamil Bouchareb, a Florida day trader; Frederick E. [read post]
23 Dec 2011, 9:38 am
Polozola in 2001 was a financial and operations principal with E*Trade Professional Trading LLC. [read post]
25 Jul 2012, 12:16 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 Boca Raton, Florida. [read post]
13 Nov 2020, 6:11 am
E. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
6 Aug 2010, 9:45 am
Sam E. [read post]
16 Aug 2019, 6:00 am
Shipchandler, and Joan E. [read post]
21 Jul 2017, 6:04 am
Friedman-Boyce and Brian E. [read post]
29 Jul 2022, 5:39 pm
Broker fraud is extremely common, and investors who hire registered and licensed professionals can face risks ranging from unsuitable investment advice and excessive trading to theft of their cash and securities. [read post]
24 Aug 2012, 10:53 am
More recently, a whistleblower’s identity was inadvertently revealed during an SEC investigation of Pipeline Trading Systems, LLC when an SEC lawyer shared the whistleblower's notebook with one of Pipeline’s executives. [read post]
16 Jan 2024, 1:19 pm
Nessim is co-founder and CEO, and Stephen Sigrist is a senior vice president, at SAR LLC. [read post]
26 Oct 2009, 2:22 pm
Attorney Josh Klein told a judge that Rajaratnam instructed others to fabricate "e-mail trails" that would explain why they executed corrupt trades. [read post]
16 Aug 2017, 8:27 am
Inc., Scottrade Inc., TD Ameritrade Inc., Fidelity Brokerage Services, E*Trade Securities, Edward D. [read post]
22 Jan 2024, 8:08 am
A private securities transaction, as defined by FINRA Rule 3280(e), pertains to any securities transaction conducted outside the regular course or scope of an associated person’s employment with a member firm. [read post]
27 Jan 2016, 5:52 pm
Clark of VedderPrice on the firm’s Media & Privacy Risk Report Data Security in the Financial Industry: Five Key Developments to Keep An Eye on in 2016 – Jenna Felz of BakerHostetler on the firm’s Data Privacy Monitor Snow Laughing Matter: Employers Ask Important Questions About Inclement Weather and their Responsibilities towards Employees – Philadelphia lawyer Eric Greco of Obermayer on the firm’s blog, HR Legalist Cuba Sanctions… [read post]
4 Jun 2009, 8:15 pm
These spam e-mails contained illegal porn, spyware and phishy e-mails containing malicious code (malware, crimeware). [read post]
22 Jan 2007, 9:53 am
RE/MAX FIRST CHOICE, LLC, et al., Defendants. [read post]
1 Aug 2019, 11:54 am
Nessim Mezrahi is co-founder and CEO of SAR LLC, a securities class action data analytics software company. ____ [1] “The Supreme Court’s Cyan Decision and What Happens Next,” posted by Michael S. [read post]
8 Sep 2020, 2:32 pm
If you or someone you know invested with IIG, please contact the Silver Law Group toll free at (800)-975-4799 or e-mail ssilver@silverlaw.com for a confidential consultation. [read post]
