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24 Sep 2019, 1:18 pm
The Securities and Exchange Commission today announced that TMC Bonds LLC, operator of an alternative trading system (ATS) for fixed income securities, has agreed to pay $2.1 million to settle charges arising from TMC Bonds’ failure to protect…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
24 Sep 2019, 7:51 am
Silver Law Group is investigating Zynerba Pharmaceuticals (ZYNE), a publicly-traded company that is developing cannabinoid therapies for neuropsychiatric disorders, on behalf of investors in the company’s stock. [read post]
23 Sep 2019, 8:29 am
Chenega Federal Systems, LLC, B-417037.2 (Comp. [read post]
23 Sep 2019, 6:51 am
Without admitting or denying the allegations, Heiden consented to the sanctions and to the entry of findings that he engaged in unauthorized trading in the accounts of two elderly customers.For the full FINRA Disciplinary Report, please click here.Pennsylvania & New Jersey Securities Litigation FirmIf you or someone you know has been the victim of investment fraud or broker misconduct, please contact our attorneys immediately for a free consultation… [read post]
22 Sep 2019, 10:09 am
The SEC’s complaint charges Smith, Broad Reach Capital, the fund’s general partner Broad Reach Partners, LLC, and the adviser, Bristol Advisors, LLC with violating the anti-fraud provisions of the federal securities laws. [read post]
21 Sep 2019, 12:14 pm
I used to work trade shows for his company all through undergrad, through law school, and while I earned my MBA. [read post]
21 Sep 2019, 9:00 am
In April 2019 a customer complained that Davis violated the securities laws by excessive trading and unauthorized trades. [read post]
20 Sep 2019, 11:22 am
Morgan Securities LLC. [read post]
Terrible Ninth Circuit 230(c)(2) Ruling Will Make the Internet More Dangerous–Enigma v. Malwarebytes
19 Sep 2019, 11:06 am
” The majority explains: users selecting a security software provider must trust that the provider will block material consistent with that user’s desires. [read post]
18 Sep 2019, 9:52 pm
A version of this article originally appeared on Securities Docket. [read post]
17 Sep 2019, 7:13 am
Two other customer disputes in 2019 allege unsuitable trades and unauthorized trading. [read post]
16 Sep 2019, 10:21 am
On August 14, 2019, the Securities and Exchange Commission (“SEC”) charged Canaccord Genuity LLC (“Canaccord”) with violating gatekeeping provisions aimed to protect investors. [read post]
16 Sep 2019, 6:18 am
From November 2017 to May 2018, Sullivan was registered with Worden Capital Management LLC. [read post]
13 Sep 2019, 8:00 am
Department of Homeland Security v. [read post]
13 Sep 2019, 5:49 am
Morley (Yale Law School), on Tuesday, September 10, 2019 Tags: Arbitrage, Disclosure, Exchange-traded funds, Investment Company Act, SEC, Securities regulation, Transparency Proxy Plumbing Recommendation Posted by Anne Sheehan and John C. [read post]
12 Sep 2019, 8:47 am
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Jeffrey Nesseth (Nesseth) currently associated with Independent Financial Group, LLC (Independent Financial) out of Plano, Texas. [read post]
12 Sep 2019, 1:06 am
In the Matter of the Arbitration Between Credit Suisse Securities (USA) LLC, Claimant, v. [read post]
11 Sep 2019, 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 Franklin, Tennessee. [read post]
10 Sep 2019, 1:56 pm
The securities attorneys at Gana Weinstein LLP are investigating advisor Michael Arteca (Arteca), currently registered with Pruco Securities, LLC. [read post]
10 Sep 2019, 11:31 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 Franklin, Tennessee. [read post]
