E*TRADE SECURITIES LLC

Transcription

1 Firm: E*TRADE SECURITIES LLC E*TRADE SECURITIES LLC Service Provider Headcount: Hidden Founded in Hidden Assets Under Management: Hidden Hidden Hidden Hidden E*TRADE Introduces Convenient Way to Make Charitable Contributions Such charities have included: Teach For America, The American Cancer Society, Juvenile Diabetes Research Foundation International, The Trust for Public Land, Wounded Warrior Project and CARE. The Motley Fool December 12, 2012 E*TRADE Simplifies Commission and Fee Schedule Our simplified pricing provides a cost-effective, transparent solution for investors, said Michael Curcio, President, E*TRADE Securities LLC. The new pricing structure complements our innovative product offering and high quality service, and... Business Wire February 5, 2010 E-Trade unveils personal finance planning tool on website The resource center will help investors build customized portfolios, Michael Curcio, president of E- Trade Securities LLC said in the statement. Investment News May 12, 2009 Graphic: Business Wire

2 offered by E*TRADE Securities LLC (Member FINRA/ SIPC). Managed Account Solutions are offered The Street August 4, 2015 Investors Show a Bearish Trend Market Watch August 4, 2015 E*Trade Securities, LLC v. Weiner et al E-Trade Securities LLC filed a suit Friday in New York asking a judge to determine who or what government agency should get $1.6 million that came from a trader's suspicious sale of stock in now-bankrupt Spongetech Delivery Systems Inc. Law 360 April 21, 2011 Wells Fargo And E*Trade Battle Over Ex-Husband's Withdrawals In the Matter of the FINRA Arbitration Between: Claimants: Lori A. Strayn vs. Respondents: Wells Fargo Advisors, LLC; E*Trade Securities LLC; and Agent Fred Snyder and Cross-Claimant/Cross- Respondent: E*Trade Securities LLC vs. Cross-Respondent/ Cross... Forbes March 15, 2013

3 Form 10-Q CASTLE HOLDING CORP For: Mar 31 On February 15, 2015, the majority stockholder and the Board of Directors approved the release of restrictions with respect to the cash and marketable securities held at CHC accounts with TD Ameritrade Inc. and E Trade Securities LLC (see Note 4). StreetInsider April 23, 2015 State charges E-Trade. The Colorado Division of Securities has filed charges against E-Trade Securities LLC, a New York broker-dealer, alleging the firm sold Colorado investors auction-rate securities without properly informing them of the risks involved. The securities were... Denver Post July 22, 2010 E*Trade Promotion: Up to $600 on Rollover of 401(k) or IRA Instruct the plan administrator to mail the check to E*TRADE Securities LLC, PO Box 484, Jersey City, NJ If your plan administrator sends you the check, simply forward it along with an IRA Deposit Slip to E*TRADE at the address above. The Dough Roller January 24, 2013 E*TRADE Financial Corporation Announces Second Quarter 2015 Earnings Conference Call Securities products and services, including IRAs, are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Bank products and services are offered by E*TRADE Bank, a Federal savings bank, Member FDIC, or its subsidiaries and affiliates. More information... Benzinga July 9, 2015

4 E*TRADE Launches Online Investment Community The E*TRADE Community provides customers a platform to interact with and tap into the collective knowledge of other passionate E*TRADE customers E*TRADE Financial Corporation (NASDAQ: ETFC) today announced that E*TRADE Securities LLC has introduced... Reuters March 14, 2011 Finra investigating E*Trade for potentially rigged markets Finra notified E*Trade Securities LLC and G1 Execution Services LLC that it is conducting a probe of both firms routing practices, E*Trade disclosed in a footnote in its latest 10-K annual regulatory filing. The Company is cooperating fully... New York Post April 27, 2014 Louis Klobuchar Jr. Louis Klobuchar Jr. served as President, E*TRADE Financial Servicesis, a subsidiary of E*trade Financial Corp. since January Mr. Klobuchar served as Chief Brokerage Officer and President of E*TRADE Securities, LLC, a subsidiary of E Trade Group Inc... Bloomberg July 29, 2015 Almost Half Of Investors Surveyed Expect Market Downturn, According To Latest E*Trade Study offered by E*TRADE Securities LLC (Member FINRA/ SIPC). Managed Account Solutions are offered

5 The Street October 30, 2015 E*TRADE Resets Mobile Bar with Apple Pay Securities products and services, including stocks, bonds mutual funds, options, and ETFs are Yahoo Finance October 26, 2015 State reaches settlement with E-Trade The California Department of Corporations said Friday the settlement ends its investigation into whether E-Trade Securities LLC improperly marketed the long-term investments as being no riskier than cash "even though the products faced increasing liquidity... The Business Journal January 17, 2012 Junior Achievement of Chicago and E*TRADE Help Local Students Take Control of Their Financial Future Chicago Tribune October 20, 2015 E*TRADE Financial Corporation Announces Third Quarter 2015 Earnings Conference Call

6 Securities products and services, including IRAs, are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Bank products and services are offered by E*TRADE Bank, a Federal savings bank, Member FDIC, or its subsidiaries and affiliates. More information... Business Wire October 8, 2015 SHAREHOLDER ALERT: Law Firm of Wohl & Fruchter LLP Announces Investigation of E*TRADE Financial Corporation advised the Company that it was investigating the order routing practices of two of the Company s units - E*Trade Securities LLC and G1 Execution Services LLC. In connection with the disclosure, ETRADE stated that regulators may initiate... Reuters August 7, 2013 E*Trade s Order Handling Under Review by U.S. Regulators Finra told the online brokerage on July 11 that it s looking into the order routing practices of E*Trade Securities LLC and G1 Execution Services LLC, according to the company s quarterly report filed today. E*Trade said July 24 that it plans to sell... Bloomberg August 6, 2013 Almost Half of Investors Surveyed Expect Market Downturn, According to Latest E*Trade Study Mobility Techzone October 30, 2015

7 Louis Klobuchar Jr. Louis Klobuchar Jr. served as President, E*TRADE Financial Servicesis, a subsidiary of E*trade Financial Corp. since January Mr. Klobuchar served as Chief Brokerage Officer and President of E*TRADE Securities, LLC, a subsidiary of E Trade Group Inc... Bloomberg October 29, 2015 This Week's Deals Davis Polk helps E-Trade set up $345 million credit facility Davis, Polk & Wardwell represented E- Trade Clearing LLC in setting up a $345 million unsecured revolving credit facility with a consortium of banks and financial institutions and lenders. therecorder.com July 8, 2015 No news for E*TRADE SECURITIES LLC right now. Check back soon! Powered by DISCLAIMERS