Search Results for: E*TRADE
E*TRADE ordered to pay a $280,000 penalty
January 27th, 2017
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping ...
E*TRADE Announces Acquisition of OptionsHouse
July 26th, 2016
E*TRADE Financial Corporation (NASDAQ:ETFC) today announced it has entered into a definitive agreement to acquire Aperture New Holdings, Inc., the ultimate parent company of OptionsHouse, for $725 million in cash. The transaction will boost E*TRADE’s derivatives capabilities while expanding its customer profile with the ...
FINRA Fines E*Trade Securities $900,000
June 3rd, 2016
The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution of its customers’ orders and for supervisory deficiencies concerning the ...
E*TRADE Financial Corporation announces First Quarter 2016 Results
April 22nd, 2016
First Quarter Results Net income of $153 million, or $0.53 per diluted share Adjusted net income of $122 million(1), or $0.43 per diluted share(1), excluding a $31 million income tax benefit related to the release of a valuation allowance ...
E*TRADE Financial Corporation Announces Third Quarter 2015 Results
October 26th, 2015
E*TRADE Financial Corporation has issued a press release to announce the results for its third quarter ended September 30, 2015. The Company reports that: Third Quarter Results • Net loss of $153 million, or $0.53 per diluted share • ...
E*TRADE Financial Corporation Reports Monthly Activity for May 2015
June 15th, 2015
E*TRADE Financial Corporation (NASDAQ:ETFC) today released its Monthly Activity Report forMay 2015. Daily Average Revenue Trades (“DARTs”) for May were 151,444, a four percent decrease from April and a three percent increase from the year-ago period. The Company added 27,865 ...
E*TRADE Financial Corporation Reports Monthly Activity for April 2015
May 18th, 2015
E*TRADE Financial Corporation (NASDAQ:ETFC) released its Monthly Activity Report for April 2015. Daily Average Revenue Trades (“DARTs”) for April were 157,442, a one percent decrease from March and an eight percent decrease from the year-ago period. The Company added ...
SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks
October 10th, 2014
The Securities and Exchange Commission announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in unregistered sales of microcap stocks on behalf of their customers. ...
ETrade HK pleaded guilty for marketing unlicensed brokerage services
September 22nd, 2017
The Securities and Futures Commission (SFC), Hong Kong’s securities and futures markets regulator, has issued an announcement to inform that it secures conviction against ETRADE Securities (Hong Kong) Limited for marketing of unlicensed US brokerage services in Hong Kong. ...
Dumb – And Dumber — Money Keeps Pouring In
August 11th, 2017
Someday, stock, bond and real estate valuations will matter again. And the mechanism by which this return to sanity is achieved will probably be the torrent of money now flowing in from people who, for various reasons, don’t care ...
