Search for: "E*Trade Securities, LLC"
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20 Mar 2007, 8:32 am
To settle administrative charges made by the Securities and Exchange Commission, Banc of America Securities LLC has agreed to paying $26 million in penalties and disgorgement. [read post]
19 Jan 2023, 12:49 pm
Proxies for plaintiff-style damages also do not take into consideration other critical factors, such as the impact of short-selling activity in investors’ trading behavior, or the limitation on damages stipulated by Section 21D(e) of the Private Securities Litigation Reform Act. [read post]
13 Nov 2019, 7:54 am
The post The Next Wave of Securities Fraud Lawsuits Will Involve Climate Change appeared first on Zamansky LLC. [read post]
21 May 2021, 10:47 am
Robinhood was joined by other online brokers, including TD Ameritrade, Charles Schwab & Co, Inc, Interactive Brokers, LLC, Webull Financial, LLC, E*Trade Securities LLC, who all implemented trading restrictions on targeted securities. [read post]
10 Mar 2017, 3:50 pm
The promissory note at issue was written on the letterhead of “Atherton LLC, a land development company” and listed Atherton, LLC as “borrower” and Bronic Knarr as “lender. [read post]
10 Mar 2017, 3:50 pm
The promissory note at issue was written on the letterhead of “Atherton LLC, a land development company” and listed Atherton, LLC as “borrower” and Bronic Knarr as “lender. [read post]
1 Feb 2021, 10:14 am
Ameritrade, Charles Schwab, E*Trade Financial Corp., Interactive Brokers Group, and other online brokerage platforms halted the ability of its clients to purchase GameStop (NYSE: GME), AMC (NYSE: AMC), Novavax, Inc. [read post]
5 Dec 2007, 6:40 pm
Shepherd Smith and Edwards represents investors who have lost money because of the misconduct of others in the securities industry. [read post]
15 Jan 2015, 3:25 am
[Refusal of BOLLYWOOD STOCK EXCHANGE for, inter alia, providing an online prediction market game for trading virtual entertainment securities.] [read post]
18 Aug 2010, 6:00 am
By contrast, corporations, or at least large Delaware corporations, benefit from standardization apart from law compliance: they are traded in a public securities market, where variations cause information costs that would be reflected in securities prices. [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
9 Sep 2020, 7:24 am
Murphy From Securities Industry After Investigation Into Unsuitable Trading appeared first on Securities Arbitration Lawyers Blog. [read post]
9 Sep 2020, 6:06 am
Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. [read post]
8 Jul 2019, 10:25 am
On December 30, 2017, Lax & Neville LLP commenced a Financial Industry Regulatory Authority (“FINRA”) arbitration claim on the Receiver’s behalf against Interactive Brokers and Kevin Michael Fischer, who is the head of Interactive Brokers LLC’s block trading desk. [read post]
3 Jul 2012, 7:23 am
The Complaint alleges that the securities trading account incurred significant trading losses and a substantial amount of the investors' money was improperly transferred from the trading account to PFG's operating account. [read post]
13 Dec 2016, 9:54 am
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including unauthorized trading, securities fraud, breach of fiduciary duty, retirement planning negligence, and much more. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial… [read post]
4 Mar 2018, 12:00 am
The SEC asserted Chang knowingly engaged in an insider-trading scheme and failed to disclose his ownership of securities in accordance with federal securities laws. [read post]
29 Jul 2020, 12:20 pm
Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Inc E*Trade Securities LLC Fernando Landicho Transamerica Financial Advisors, Inc. [read post]
29 Aug 2012, 12:10 pm
In other institutional investment fraud news, the Securities and Exchange Commission has filed charges against Edward Bronson and his E-Lionheart Associates LLC. [read post]
