Search for: "Jefferies Group LLC,"
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3 Jan 2012, 8:00 am
Jefferies sued Nasdaq and its International Derivatives Clearing Group LLC in September in New York state court accusing them of fraud and breach of contract. [read post]
18 Mar 2014, 4:33 pm
Attorney’s Office of the District of Connecticut, New York based broker dealer, Jefferies LLC, entered into a non-prosecution agreement and will pay $25 million. [read post]
15 Jun 2017, 7:49 am
(CRD #1833707) Bradenton, Florida
(March 13, 2017) FINRA Case #2016049321701 Watson was discharged from The Jeffery Matthews Financial Group LLC in December 2015 and from Firstrust LLC in January 2015. [read post]
21 Sep 2022, 12:37 pm
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms with failing to comply with municipal bond offering disclosure requirements. [read post]
11 Aug 2018, 9:04 pm
Jeffery A. [read post]
24 Aug 2020, 6:00 am
In this case, Jefferies Financial Group Inc. [read post]
9 Apr 2012, 8:29 am
Jeffery K. [read post]
3 Jan 2017, 10:09 am
A securities-fraud case that triggered widespread changes to sales tactics on Wall Street is once again in the spotlight as a former Jefferies Group LLC bond trader goes back on trial Wednesday in New Haven, Conn, according to The Wall Street Journal on January 3. [read post]
10 Sep 2019, 2:34 am
Credit Suisse AG, London Branch LKD TO Morgan Stanley Medium Term SR NTS Morgan Stanley Medium Term SR NTS Leveraged Curve and Russell 2000 Pacific Beacon LLC 2006 SER A Military Morgan Stanley Medium Term SR NTS DTD7/31/14 Morgan Stanley Medium Term SR NTS DTD 04/30/12 Hamden Conn Taxable Int Rate DTD 03/10/15 Hewlett Packard Co Fixed Global NT DTD 9/19/11 Morgan Stanley Medium Term SR NTS DTD 04/30/12 Morgan Stanley Medium Term SR NTS DTD 07/31/14 Jefferies Group… [read post]
2 Jun 2015, 9:02 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Veros Partners, its president Michael Haab and associates Jeffery Risinger and Tobin Senefeld have been charged by the SEC for allegedly running a $15 million Ponzi scheme.From 2013 to 2014, Veros Partners allegedly mislead investors attempting to invest in farm loan venture securities through two groups, Veros Farm Loan Holding and FarmGrowCap. [read post]
23 Dec 2010, 4:19 am
© 2010 Simple Justice NY LLC. [read post]
24 Sep 2019, 7:51 am
Zynerba Public Offerings Zynerba held its initial public offering in 2015, with Jefferies LLC and Piper Jaffray & Co. as joint book-running managers, and Cannacord Genuity Inc. and Oppenheimer & Co. [read post]
11 Mar 2020, 8:47 am
New RS FXD R1 DTE 9/15/13 Citibank NA PRIN Protected MKT LKD DTD 5/30/13 East West BK Pasadena Calif DTD 10/4/13 JPMorgan Chase BK NA Columbus Ohio DTD 11/26/14 Abilene TEX ARPT CTFS DTD 8/1/07 Illinois ST GO BDS 2013 A DTD 4/10/13 Barclay Bank PLC ISIN DTD 9/29/11 Jefferies Group LLC/ Jefferies Group CAP FIN DTD 4/28/17 Bank of Nova Scotia LKD TO CMS RT USD DTD 7/30/13 Morgan Stanley Medium Term SR NTS DTD 10/31/13 Seagate HHD Cayman DTD 12/2/14 Morgan… [read post]
8 Nov 2021, 1:17 pm
Robert Wong Jefferies LLC Scott-Macon Securities, Inc. [read post]
28 Sep 2022, 12:37 pm
The following two firms have agreed to pay penalties of $50 million each: Jefferies LLC; and Nomura Securities International, Inc. [read post]
21 Nov 2022, 9:02 am
LLC Jefferies LLC Morgan Stanley & Co. [read post]
28 Nov 2022, 9:02 am
LLC Jefferies LLC Morgan Stanley & Co. [read post]
19 Jul 2020, 9:17 am
The Chancellor of the Delaware Court of Chancery recently presented a challenge to controller Jeffries Financial Group Inc. [read post]
20 May 2012, 4:08 pm
Reports say he came into the eastbound lane, causing 35-year-old Jeffery A. [read post]
3 Feb 2010, 6:37 pm
As of the bankruptcy filing, Spheris had outstanding obligations of $75.6 million on its senior credit facility (Ableco Finance LLC is the collateral agent and Cratos Capital Management, LLC is the administrative agent for the lenders). [read post]
