Search for: "National Security Exchange LLC"
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9 Aug 2021, 12:27 pm
The Securities and Exchange Commission today announced that Poloniex LLC has agreed to pay more than $10 million to settle charges for operating an unregistered online digital asset exchange in connection with its operation of a trading platform that facilitated buying and selling of digital asset securities. [read post]
16 Aug 2021, 7:05 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
4 Oct 2016, 6:52 am
On September 2, 2016, the Investors’ Exchange, LLC (IEX) commenced full operations as a registered national securities exchange. [read post]
27 Jun 2016, 1:45 pm
On June 17, 2016, the Securities and Exchange Commission (“SEC”) approved the application of Investors’ Exchange LLC (“IEX”) to register as a national securities exchange. [read post]
15 May 2017, 9:28 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
15 May 2017, 9:23 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
15 May 2017, 9:33 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
18 Jan 2024, 1:30 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
5 Jul 2023, 12:52 pm
The White Law Group reviews the regulatory history of Hightower Securities LLC. [read post]
9 Aug 2021, 5:50 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
3 Mar 2022, 7:55 am
The Securities and Exchange Commission today announced that registered investment adviser City National Rochdale, LLC (CNR) has agreed to pay more than $30 million to settle charges that its undisclosed conflicts of interest defrauded current and…Read the Full Press ReleaseHave a securities law question? [read post]
19 Jul 2021, 5:55 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
8 Jul 2022, 6:27 am
Iorio Altamirano LLP, a securities arbitration law firm based in New York, NY, is investigating potential lawsuits and securities arbitration claims against National Securities Corporation for its sale of L Bonds issued by GWG Holdings, Inc. [read post]
20 Feb 2019, 5:00 am
Circuit Court of Appeals, Nasdaq and members of the NYSE Group have challenged the controversial pilot, which imposes new restrictions on the fees and rebates that national securities exchanges may charge or offer to their broker-dealer members for transactions in NMS securities in specified test groups (New York Stock Exchange LLC v. [read post]
27 Jun 2023, 5:35 am
The White Law Group reviews the regulatory history of JP Morgan Securities LLC. [read post]
5 May 2017, 10:07 am
The post Moody National SHS Bothell S LLC Tenants in Common Investigation appeared first on White Securities Law. [read post]
5 May 2017, 7:42 am
The post Moody National CY Airport Columbus S LLC Tenants in Common Investigation appeared first on White Securities Law. [read post]
5 May 2017, 8:21 am
The post Moody National FFI Meadowlands S LLC Tenants in Common Investigation appeared first on White Securities Law. [read post]
5 May 2017, 10:41 am
The post Moody National TPS Portland S LLC Tenants in Common Investigation appeared first on White Securities Law. [read post]
5 May 2017, 7:54 am
The post Moody National Lyndhurst S LLC Tenants in Common Investigation appeared first on White Securities Law. [read post]
