Search for: "US Trade and Exchange, LLC"
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7 Feb 2023, 7:00 am
To schedule a free consultation at Zamansky LLC, call us at 212-742-1414 or tell us how we can reach you online today. [read post]
28 Jan 2012, 9:59 pm
The SEC is accusing First Resource Group LLC and its founder David H. [read post]
15 May 2008, 11:38 am
Former broker-dealer Chanin Capital LLC says it will pay a $75,000 fine to settle Securities and Exchange Commission charges that it failed to set up procedures and policies to prevent employees and others from misusing inside information. [read post]
18 Dec 2019, 1:09 pm
Medoc Health Services, LLC, 573 S.W.3d 418, 426 (Tex. [read post]
7 Apr 2014, 5:12 am
An SEC investigation found that Joseph Dondero, a co-owner of Visionary Trading LLC, repeatedly used this strategy to induce other market participants to trade in a particular stock. [read post]
13 Jan 2022, 6:21 am
It is important to note, neither executive officers and directors nor companies are required to use a Rule 10b5-1 trading plan to execute company stock transactions, and many trades are completed without such plans. [read post]
15 Sep 2019, 11:39 am
Effex Capital, LLC is a closely held, foreign-currency trading firm managed and controlled by John Dittami. [read post]
5 Dec 2007, 6:40 pm
This alleged misconduct resulted in 118 more mutual fund exchanges. [read post]
27 Jul 2017, 12:51 pm
Axiom Investment Advisors, LLC v. [read post]
1 May 2018, 9:14 am
Lionshare Ventures LLC and Christopher Esposito charged in Fraudulent Scheme According to the Securities and Exchange Commission, on April 30, 2018, the U.S. [read post]
9 Oct 2013, 7:00 am
Turner & Company, LLC. [read post]
13 Aug 2014, 6:42 am
While regular ETFs can be held for long term trading, Leveraged ETFs are generally designed to be used only for short term trading. [read post]
30 Jan 2013, 5:58 pm
Oltrin Solutions, LLC and JCI Jones Chemicals Inc., were competitors in the market for bulk bleach, which is used primarily as a disinfectant in municipal water treatment. [read post]
2 Feb 2017, 7:59 am
Breton, through SCM, bought public companies’ securities using a block trading omnibus account known as a “Master Account. [read post]
2 Feb 2017, 7:59 am
Breton, through SCM, bought public companies’ securities using a block trading omnibus account known as a “Master Account. [read post]
3 Jul 2012, 7:23 am
The SEC has obtained a temporary restraining order and asset freeze against Price, his companies PFG, LLC ("PFG") and PFGBI, LLC ("PFGBI") and other related entities. [read post]
9 May 2012, 2:45 pm
International Securities Exchange, LLC (Fed. [read post]
23 Jul 2009, 1:05 am
See Moser Pilon Nelson Architects, LLC v. [read post]
22 May 2015, 12:01 pm
DePalo is alleged to have misappropriated millions from foreign investors in a holding company called Pangaea Trading Partners LLC. [read post]
30 Aug 2021, 11:18 am
As a publicly traded company, we believe we are well positioned to help to create a safer world with our Digital Intelligence solutions suite, through the ethical use of our solutions, and to deliver sustainable value for all of our stakeholders. [read post]
