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E TRADE Financial Corporation

E TRADE Financial Corporation (ETFC)

49.26
0.00
(0.00%)
Closed March 19 04:00PM
0.00
0.00
(0.00%)

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Key stats and details

Current Price
49.26
Bid
48.50
Ask
51.87
Volume
-
0.00 Day's Range 0.00
0.00 52 Week Range 0.00
Previous Close
49.26
Open
-
Last Trade
Last Trade Time
Average Volume (3m)
-
Financial Volume
-
VWAP
-

ETFC Latest News

No news to show yet.
PeriodChangeChange %OpenHighLowAvg. Daily VolVWAP
10000000CS
40000000CS
120000000CS
260000000CS
520000000CS
1560000000CS
2600000000CS

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ETFC Discussion

View Posts
tayronachan tayronachan 3 years ago
I can still link to the Etrade Pro download. You do have an account there right? Click the "What We Offer" dropdown menu, go to platforms.
👍️0
frenchielover frenchielover 3 years ago
Hi Thanks. I cant find the Etrade Pro link on Etrade to download it. I heard they were haing trouble with it i am wondering of they disabled or something...
👍️0
tayronachan tayronachan 3 years ago
Actually, only lost OTC Lvl2, have to pay a small fee for that, still have free Lv2 on other markets, oh and they don't have their scanner anymore, seems Etrade couldn't come to an agreement with the supplier of the scanner.
Using the Etrade Pro platform. I like it.
👍️0
frenchielover frenchielover 3 years ago
Thanks for that info so how do you get Level 2 trading then?
👍️0
Moonboy1 Moonboy1 3 years ago
I think I just figured out why eBay is going to by pass PayPal and go directly to our bank accounts with payments of goods sold on eBay. It's because people are gonna ng to want to start being paid in bitcoin. This alleviates that and it is a bank a-- kids ng scheme in my opinion. Just my opinion.
👍️0
Lowjack Lowjack 4 years ago
Don't pay any attention to the Chinaman behind the curtain!
https://www.cnbc.com/2020/03/25/morgan-stanleys-online-trading-system-for-wealthy-clients-is-down.html
👍️0
deadjim deadjim 4 years ago
Great - Morgan Stanley’s going to ruin this platform
👍️0
BRONSON BRONSON 4 years ago
👍️0
nowwhat2 nowwhat2 4 years ago
Wild chart





👍️0
whytestocks whytestocks 5 years ago
News: $ETFC E*TRADE Reflects on a Year of Corporate Giving, Philanthropy, and Community Service

E*TRADE employees gave back to their communities through a variety of outlets, including corporate philanthropy, charitable giving, and volunteerism E*TRADE Financial Corporation (NASDAQ:ETFC) and its employees across the country teamed up to volunteer and make a difference in their l...

Read the whole news https://marketwirenews.com/news-releases/e-trade-reflects-on-a-year-of-corporate-giving-philanthropy-and-community-service-7505550.html
👍️0
WallStreetMyWay WallStreetMyWay 5 years ago
$GPS $EA $GE $GG $FNMA $CAT LONGS AM.
👍️0
ITMS ITMS 6 years ago
Watch This Trade Level For E-Trade $ETFC

Leading online financial services company, ETRADE Financial Corp (NASDAQ:ETFC), has been slumping since early June 2018. At that time, ETFC stock traded as high as $66.46 a share. Since that high pivot, the stock has declined lower, today it trades at $53.46 a share. Traders and investors should note that ETFC stock is now trading below its important 50 and 200-day moving averages. This position on the chart puts the stock in a weak technical position. Traders must now look lower for major chart support. The next key support area will be around the $50.00 level. This is where the stock was defended in February 2018. Often, when a stock back tests a major support level it will be defended again. This level interests me for a long side swing-trade in ETFC stock.



Nicholas Santiago
InTheMoneyStocks
👍️0
Rogue3 Rogue3 6 years ago
Great earnings came out yesterday and this stock declines in share price. So frustrating. Why must investors sell the news or is there something else going on here?
👍️0
stocktrademan stocktrademan 6 years ago
ETFC buy 60.48


http://www.etrade.com























normal chart




log chart



👍️0
tayronachan tayronachan 6 years ago
E Trade drops Level 2 from ETrade Pro, have to pay for it now, wtf.
👍️0
buysell101 buysell101 6 years ago
Anyone else not able to login this morning??? Tried calling waited 28 mins for my platinum team to pick up...they have no idea what's going on....
👍️0
ClairvoyantTrader ClairvoyantTrader 6 years ago
Class action lawsuit against Etrade
👍️0
Condor65 Condor65 9 years ago
Email from FXCM, about e*trade Forex accounts:





👍️0
stocktrademan stocktrademan 9 years ago
$ETFC recent news/filings

bullish
"yo dawg so you can trade when you trade"

## source: finance.yahoo.com

Mon, 01 Jun 2015 21:27:06 GMT ~ ON THE MOVE-LPL Financial lures E*Trade's Matt Audette to CFO post

[Reuters] - LPL Financial Holdings Inc , a U.S. brokerage firm that sells products and services through more than 14,000 independent brokers, said Monday it has hired E*Trade Financial Corp's Chief Financial Officer Matthew Audette as its CFO. Audette, who earned $2.3 million in cash and stock bonuses last year, has played a key role in E*Trade's return to profitability after flirting with bankruptcy. Audette, 41, is replacing former CFO Dan Arnold, who was elevated to LPL's president in March after Robert Moore unexpectedly resigned from that role to join a money-management firm.

read full: http://finance.yahoo.com/news/move-lpl-financial-lures-e-212706764.html
*********************************************************

Mon, 01 Jun 2015 20:42:41 GMT ~ E TRADE FINANCIAL CORP Files SEC form 8-K, Change in Directors or Principal Officers, Financial Statements and Exhibi


read full: http://biz.yahoo.com/e/150601/etfc8-k.html
*********************************************************

Mon, 01 Jun 2015 20:26:05 GMT ~ E*TRADE Financial Corporation Announces Leadership Transition

[at noodls] - Matthew J. Audette to leave Company for another opportunity Michael A. Pizzi appointed Chief Financial Officer Paul W. Brandow appointed Acting Chief Risk Officer NEW YORK--(BUSINESS WIRE)-- E*TRADE Financial ...

read full: http://www.noodls.com/view/DC175FDE875963DF32AA8F91B939A9F3EB0BDA62
*********************************************************

Mon, 01 Jun 2015 20:15:24 GMT ~ E-Trade CFO Matthew Audette to leave at end of July


read full: http://www.marketwatch.com/News/Story/Story.aspx?guid=E66367BC-54BD-4CAC-B83F-0095CE1EA825&siteid=yhoof2
*********************************************************

Mon, 01 Jun 2015 20:05:00 GMT ~ E*TRADE Financial Corporation Announces Leadership Transition

[Business Wire] - E*TRADE Financial Corporation today announced that Chief Financial Officer Matthew J. Audette advised the Company of his decision to leave to accept a role with another company.

read full: http://finance.yahoo.com/news/e-trade-financial-corporation-announces-200500382.html
*********************************************************

$ETFC charts

basic chart ## source: stockcharts.com



basic chart ## source: stockscores.com



big daily chart ## source: stockcharts.com



big weekly chart ## source: stockcharts.com



$ETFC company information

## source: otcmarkets.com

Link: http://www.otcmarkets.com/stock/ETFC/company-info
Ticker: $ETFC
OTC Market Place: Not Available
CIK code: 0001015780
Company name: E*TRADE Financial, Inc.
Company website: http://www.etrade.com
Incorporated In: DE, USA

Business Description: OTC Markets | Official site of the OTCQX, OTCQB and OTC Pink Marketplaces featuring Free Stock & Bond Quotes, Trade Prices, Chart, Financials and Company News & Information for Investors, Companies and Traders - OTCMarkets.com (window.NREUM||(NREUM={})).loader_config={xpid:"UwMGWVdSGwQIU1RQAgQ="};window.NREUM||(NREUM={}),__nr_require=function(t,e,n){function r(n){if(!e[n]){var o=e[n]={exports:{}};t[n][0].call(o.exports,function(e){var o=t[n][1][e];return r(o?o:e)},o,o.exports)}return e[n].exports}if("function"==typeof __nr_require)return __nr_require;for(var o=0;od;d++)c[d].apply(u,n);return u}function a(t,e){f[t]=s(t).concat(e)}function s(t){return f[t]||[]}function c(){return n(e)}var f={};return{on:a,emit:e,create:c,listeners:s,_events:f}}function r(){return{}}var o="nr@context",i=t("gos");e.exports=n()},{gos:"7eSDFh"}],ee:[function(t,e){e.exports=t("QJf3ax")},{}],3:[function(t){function e(t){try{i.console&&console.log(t)}catch(e){}}var 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$ETFC share structure

## source: otcmarkets.com

Market Value: $8,548,168,483 a/o Jun 01, 2015
Shares Outstanding: 289,915,838 a/o Apr 30, 2015
Float: Not Available
Authorized Shares: Not Available
Par Value: 0.01

$ETFC extra dd links

Company name: E*TRADE Financial, Inc.
Company website: http://www.etrade.com

## STOCK DETAILS ##
After Hours Quote (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/after-hours
Option Chain (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/option-chain
Historical Prices (yahoo.com): http://finance.yahoo.com/q/hp?s=ETFC+Historical+Prices
Company Profile (yahoo.com): http://finance.yahoo.com/q/pr?s=ETFC+Profile
Industry (yahoo.com): http://finance.yahoo.com/q/in?s=ETFC+Industry

## COMPANY NEWS ##
Market Stream (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stream
Latest news (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/news - http://finance.yahoo.com/q/h?s=ETFC+Headlines

## STOCK ANALYSIS ##
Analyst Research (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/analyst-research
Guru Analysis (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/guru-analysis
Stock Report (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stock-report
Competitors (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/competitors
Stock Consultant (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stock-consultant
Stock Comparison (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stock-comparison
Investopedia (investopedia.com): http://www.investopedia.com/markets/stocks/ETFC/?wa=0
Research Reports (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/research
Basic Tech. Analysis (yahoo.com): http://finance.yahoo.com/q/ta?s=ETFC+Basic+Tech.+Analysis
Barchart (barchart.com): http://www.barchart.com/quotes/stocks/ETFC
DTCC (dtcc.com): http://search2.dtcc.com/?q=E%2ATRADE+Financial%2C+Inc.&x=10&y=8&sp_p=all&sp_f=ISO-8859-1
Spoke company information (spoke.com): http://www.spoke.com/search?utf8=%E2%9C%93&q=E%2ATRADE+Financial%2C+Inc.
Corporation WIKI (corporationwiki.com): http://www.corporationwiki.com/search/results?term=E%2ATRADE+Financial%2C+Inc.&x=0&y=0
WHOIS (domaintools.com): http://whois.domaintools.com/http://www.etrade.com
Alexa (alexa.com): http://www.alexa.com/siteinfo/http://www.etrade.com#
Corporate website internet archive (archive.org): http://web.archive.org/web/*/http://www.etrade.com

## FUNDAMENTALS ##
Call Transcripts (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/call-transcripts
Annual Report (companyspotlight.com): http://www.companyspotlight.com/library/companies/keyword/ETFC
Income Statement (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/financials?query=income-statement
Revenue/EPS (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/revenue-eps
SEC Filings (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/sec-filings
Edgar filings (sec.gov): http://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0001015780&owner=exclude&count=40
Latest filings (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/filings
Latest financials (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/financials
Short Interest (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/short-interest
Dividend History (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/dividend-history
RegSho (regsho.com): http://www.regsho.com/tools/symbol_stats.php?sym=ETFC&search=search
OTC Short Report (otcshortreport.com): http://otcshortreport.com/index.php?index=ETFC
Short Sales (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/short-sales
Key Statistics (yahoo.com): http://finance.yahoo.com/q/ks?s=ETFC+Key+Statistics
Insider Roster (yahoo.com): http://finance.yahoo.com/q/ir?s=ETFC+Insider+Roster
Income Statement (yahoo.com): http://finance.yahoo.com/q/is?s=ETFC
Balance Sheet (yahoo.com): http://finance.yahoo.com/q/bs?s=ETFC
Cash Flow (yahoo.com): http://finance.yahoo.com/q/cf?s=ETFC+Cash+Flow&annual

## HOLDINGS ##
Major holdings (cnbc.com): http://data.cnbc.com/quotes/ETFC/tab/8.1
Insider transactions (yahoo.com): http://finance.yahoo.com/q/it?s=ETFC+Insider+Transactions
Insider transactions (secform4.com): http://www.secform4.com/insider-trading/ETFC.htm
Insider transactions (insidercrow.com): http://www.insidercow.com/history/company.jsp?company=ETFC
Ownership Summary (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/ownership-summary
Institutional Holdings (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/institutional-holdings
Insiders (SEC Form 4) (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/insider-trades
Insider Disclosure (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/insider-transactions

## SOCIAL MEDIA AND OTHER VARIOUS SOURCES ##
PST (pennystocktweets.com): http://www.pennystocktweets.com/stocks/profile/ETFC
Market Watch (marketwatch.com): http://www.marketwatch.com/investing/stock/ETFC
Bloomberg (bloomberg.com): http://www.bloomberg.com/quote/ETFC:US
Morningstar (morningstar.com): http://quotes.morningstar.com/stock/s?t=ETFC
Bussinessweek (businessweek.com): http://investing.businessweek.com/research/stocks/snapshot/snapshot_article.asp?ticker=ETFC



$ETFC DD Notes ~ http://www.ddnotesmaker.com/ETFC
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Daravaini Daravaini 9 years ago
The Fed already announce in May they shortly will institute as high as a 7 percent interest rate. This invariably correlates with a sharp downward correction, due Monday, May 18, 2015. Are the Bulls stark-raving MAD? Nearly all pundits point to a large correction-SOON- LIKE THIS MONDAY, Are the Emperors Clothes REALLY that invisible. Pleas look up the Nobel prize winning Black-Scholes equation if you can work with and solve partial differential equations which takes into account all factors mitigating a stock or option price and The Bulls have NO days left to run up the market. Their micro-thin bubble will burst and the aftermath of the devastation they cause will be practically incalculable for some years to come GET A CLUE BULL (HEADS)
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ksbirddog ksbirddog 9 years ago
Any of you ever sued your brokerage because they subtracted shares from your account instead of adding shares to your account
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AlanC AlanC 9 years ago
E-Trade


http://www.jdsupra.com/legalnews/sec-charges-etrade-subs-when-is-the-du-73094/


SEC Charges E*Trade Subs: When Is the Due Diligence Sufficient?
10/14/2014byThomas Gorman | Dorsey & Whitney LLP Contact

inShare
Having the correct compliance procedures in place can often be critical. The SEC and the DOJ have repeatedly emphasized this in FCPA cases. Conducting due diligence can be equally critical. For gatekeepers such as lawyers, accountants and brokers, conducting appropriate due diligence can mean the difference between preventing a violation and becoming entangled in it. That was the result for two E*Trade subsidiaries who sold millions of shares of microcap stocks that were not registered despite representations to the contrary from their clients. In the Matter of E*Trade Securities, LLC, Adm. Proc. File No. 3-16192 (October 9, 2014).

From March 2007 through April 2011 the two E*Trade subsidiaries named at Respondents at various times facilitated the sale of millions of unregistered microcap shares for three Customers, according to the Order. Customer A opened an account with E*Trade in early 2007; Customer B opened an account later that year; and Customer C opened an account in March 2010. The Customers are institutional clients.

During the period the three Customers routinely acquired large quantities of newly issued penny stocks in private offerings. The Customers represented to E*Trade that the stocks were acquired in PIPE offerings. The size of the deposits varied from several thousand shares to a billion. The shares were issued by 247 companies. Generally the shares were resold within a short period. There were no registration statements on file with the Commission for the shares.

Respondents did not ask Customers A and B to identify the specific exemption from registration relied on. Likewise, the two Customers were not asked for documentation regarding any exemption. Rather, the two subsidiaries made the following inquiries:

What was the intended trading activity;

Customer A was asked for written representations that the shares were freely tradable;

Customer A furnished written representations that it would comply with the applicable law;

Respondents visited the offices of both customers several times to determine that they were reputable;

Beginning in March 2009 Respondents reviewed pending deposits to determine if they had financial risk; and

In November 2009 the trading history of both Customers was reviewed.

From March 2010 through April 2011 “Enhanced Due Diligence” was conducted regarding share deposits for Customers A and C. Under this process written representations were obtained from the Customer and issuer that the shares were freely tradable. Opinions from attorneys were also obtained that were based largely on representations from the reseller and issuer. Respondents also researched the attorneys.

These procedures were inadequate, according to the Order. While Securities Act Section 4(a)(4) exempts from registration brokers’ transactions, it is unavailable when the broker knows, or has reasonable grounds to know, that the shares are not exempt. To rely on the exemption a reasonable inquiry must be conducted. The scope of that inquiry depends on the surrounding facts and circumstances.

Here Customers A, B and C were continually faced with a series of red flags which should have raised a question as to whether they were engaged in an illegal distribution: 1) each acquired substantial amounts of newly issued penny stocks; 2) those shares were acquired from little known, non-reporting issuers; 3) they were acquired through private unregistered transactions; 4) the shares were immediately resold; and 5) the funds were wired out. Nevertheless, Respondents failed to conduct the kind of searching inquiry that was required under the circumstances. Accordingly, Respondents willfully violated Securities Act Sections 5(a) and 5(c).

To resolve the proceeding each Respondent consented to the entry of a cease and desist order based on the Sections cited and to a censure. On a joint and several basis Respondents will pay disgorgement of $1,402,850, prejudgment interest and a penalty of $1 million. E-Trade


http://www.jdsupra.com/legalnews/sec-charges-etrade-subs-when-is-the-du-73094/


SEC Charges E*Trade Subs: When Is the Due Diligence Sufficient?
10/14/2014byThomas Gorman | Dorsey & Whitney LLP Contact

inShare
Having the correct compliance procedures in place can often be critical. The SEC and the DOJ have repeatedly emphasized this in FCPA cases. Conducting due diligence can be equally critical. For gatekeepers such as lawyers, accountants and brokers, conducting appropriate due diligence can mean the difference between preventing a violation and becoming entangled in it. That was the result for two E*Trade subsidiaries who sold millions of shares of microcap stocks that were not registered despite representations to the contrary from their clients. In the Matter of E*Trade Securities, LLC, Adm. Proc. File No. 3-16192 (October 9, 2014).

From March 2007 through April 2011 the two E*Trade subsidiaries named at Respondents at various times facilitated the sale of millions of unregistered microcap shares for three Customers, according to the Order. Customer A opened an account with E*Trade in early 2007; Customer B opened an account later that year; and Customer C opened an account in March 2010. The Customers are institutional clients.

During the period the three Customers routinely acquired large quantities of newly issued penny stocks in private offerings. The Customers represented to E*Trade that the stocks were acquired in PIPE offerings. The size of the deposits varied from several thousand shares to a billion. The shares were issued by 247 companies. Generally the shares were resold within a short period. There were no registration statements on file with the Commission for the shares.

Respondents did not ask Customers A and B to identify the specific exemption from registration relied on. Likewise, the two Customers were not asked for documentation regarding any exemption. Rather, the two subsidiaries made the following inquiries:

What was the intended trading activity;

Customer A was asked for written representations that the shares were freely tradable;

Customer A furnished written representations that it would comply with the applicable law;

Respondents visited the offices of both customers several times to determine that they were reputable;

Beginning in March 2009 Respondents reviewed pending deposits to determine if they had financial risk; and

In November 2009 the trading history of both Customers was reviewed.

From March 2010 through April 2011 “Enhanced Due Diligence” was conducted regarding share deposits for Customers A and C. Under this process written representations were obtained from the Customer and issuer that the shares were freely tradable. Opinions from attorneys were also obtained that were based largely on representations from the reseller and issuer. Respondents also researched the attorneys.

These procedures were inadequate, according to the Order. While Securities Act Section 4(a)(4) exempts from registration brokers’ transactions, it is unavailable when the broker knows, or has reasonable grounds to know, that the shares are not exempt. To rely on the exemption a reasonable inquiry must be conducted. The scope of that inquiry depends on the surrounding facts and circumstances.

Here Customers A, B and C were continually faced with a series of red flags which should have raised a question as to whether they were engaged in an illegal distribution: 1) each acquired substantial amounts of newly issued penny stocks; 2) those shares were acquired from little known, non-reporting issuers; 3) they were acquired through private unregistered transactions; 4) the shares were immediately resold; and 5) the funds were wired out. Nevertheless, Respondents failed to conduct the kind of searching inquiry that was required under the circumstances. Accordingly, Respondents willfully violated Securities Act Sections 5(a) and 5(c).

To resolve the proceeding each Respondent consented to the entry of a cease and desist order based on the Sections cited and to a censure. On a joint and several basis Respondents will pay disgorgement of $1,402,850, prejudgment interest and a penalty of $1 million.
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stocktrademan stocktrademan 9 years ago
dunno not involved, maybe ask them instead
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AlanC AlanC 9 years ago
What happened to being a gatekeeper and fiduciary duty?

http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370543133526

Search SEC Documents
Company Filings | More Search Options

PRESS RELEASE
SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings
FOR IMMEDIATE RELEASE
2014-225
Washington D.C., Oct. 9, 2014 — The Securities and Exchange Commission today 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.
An SEC investigation found that E*TRADE Securities and E*TRADE Capital Markets sold billions of penny stock shares for customers during a four-year period while ignoring red flags that the offerings were being conducted without an applicable exemption from the registration provisions of the federal securities laws. E*TRADE Securities remains an E*TRADE subsidiary while E*TRADE Capital Markets was sold earlier this year and is now called G1 Execution Services.

E*TRADE Securities and G1 Execution Services agreed to settle the SEC’s charges by paying back more than $1.5 million in disgorgement and prejudgment interest from commissions they earned on the improper sales. They also must pay a combined penalty of $1 million.

In addition to the enforcement action, the SEC staff today published a Risk Alert and FAQs to remind broker-dealers of their obligations when they engage in unregistered transactions on behalf of their customers.

“Broker-dealers serve an important gatekeeping function that helps prevent microcap fraud by taking measures to ensure that unregistered shares don’t reach the market if the registration rules aren’t being followed,” said Andrew J. Ceresney, Director of the SEC’s Division of Enforcement. “Many billions of unregistered shares passed through gates that E*TRADE should have closed, and we will hold firms accountable when improper trading occurs on their watch.”

According to the SEC’s order instituting a settled administrative proceeding, the failures by E*TRADE occurred periodically from March 2007 to April 2011. The securities laws generally require all offers and sales of securities to be registered with the SEC unless those offers and sales qualify for an exemption. When brokers facilitate an unregistered sales transaction on behalf of a customer, they must reasonably ensure that an exemption does indeed apply.

The SEC’s order finds that three customers of E*TRADE routinely deposited to their E*TRADE accounts large quantities of newly issued penny stocks they had acquired through private, unregistered transactions with little-known, non-reporting issuers. The customers claimed that these penny stocks were “freely tradable” and they placed orders for E*TRADE to sell the securities to the public through “resales” without any registration statements in effect. Following the resales, the customers immediately wired the sales proceeds out of their accounts.

According to the SEC’s order, E*TRADE encountered numerous red flags indicating potential improper sales of securities. Nevertheless, the firm relied on a registration exemption for broker-dealers that permits them to execute a customer’s unregistered sales of securities if, after a reasonable inquiry, the broker-dealer is not aware of circumstances indicating that the customer is violating registration requirements. E*TRADE initially failed to identify any exemptions potentially available to these customers. When it later identified the purported exemptions upon which the customers claimed to be relying, E*TRADE failed to perform a searching inquiry to be reasonably certain that such exemptions applied for each unregistered sale executed by the three customers.

“E*TRADE failed to fulfill its obligation to determine whether any exemptions applied to the sale of billions of shares of securities thereby depriving investors of critical protections under the federal securities laws,” said Stephen L. Cohen, Associate Director of the SEC’s Division of Enforcement. “Firms must take their reasonable inquiry obligations seriously and do more than check the box, particularly when red flags are apparent.”

The SEC’s order finds that E*TRADE Securities and G1 Execution Services violated Sections 5(a) and 5(c) of the Securities Act of 1933. In addition to the monetary sanctions and without admitting or denying the SEC’s findings, the two firms agreed to be censured and consented to the order requiring them to cease and desist from committing or causing any future violations of the registration provisions of the Securities Act.

The SEC’s investigation was conducted by Deborah R. Maisel and Richard E. Johnston with assistance from Kyle DeYoung. The case was supervised by Jennifer S. Leete.
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stocktrademan stocktrademan 10 years ago
$ETFC recent news/filings

bullish optionable weekly trade

## source: finance.yahoo.com

Fri, 25 Jul 2014 15:37:25 GMT ~ Was your brokerage account hacked? Here’s how to know


read full: http://www.marketwatch.com/News/Story/Story.aspx?guid=09ECF138-1409-11E4-A7DB-00212803FAD6&siteid=yhoof2
*********************************************************

Thu, 24 Jul 2014 14:35:24 GMT ~ E*TRADE (ETFC) Beats Earnings on High DARTs and Low Expenses


read full: http://finance.yahoo.com/news/e-trade-etfc-beats-earnings-143524978.html
*********************************************************

Thu, 24 Jul 2014 13:58:29 GMT ~ E-Trade shares fall 3% after earnings


read full: http://www.marketwatch.com/News/Story/Story.aspx?guid=0773AAF4-B2B3-4337-9A7F-367F8316A272&siteid=yhoof2
*********************************************************

Thu, 24 Jul 2014 13:43:00 GMT ~ Forget Facebook, Caterpillar says a lot more about the 'recovery'


read full: http://finance.yahoo.com/news/forget-facebook-caterpillar-says-lot-134300543.html
*********************************************************

Thu, 24 Jul 2014 12:51:32 GMT ~ Traders are walking zombies on Wall Street


read full: http://www.marketwatch.com/News/Story/Story.aspx?guid=210CE306-1287-11E4-8B59-00212803FAD6&siteid=yhoof2
*********************************************************






$ETFC charts


basic chart ## source: stockcharts.com



basic chart ## source: eoddata.com



big daily chart ## source: stockcharts.com



big weekly chart ## source: stockcharts.com








$ETFC company information


## source: otcmarkets.com

Link: http://www.otcmarkets.com/stock/ETFC/company-info
Ticker: $ETFC
OTC Market Place: Not Available
CIK code: 0001015780
Company name: E*TRADE Financial, Inc.
Company website: http://www.etrade.com
Incorporated In: DE, USA






$ETFC share structure


## source: otcmarkets.com

Market Value: $5,880,299,218 a/o Jul 25, 2014
Shares Outstanding: 288,532,837 a/o Apr 30, 2014
Float: Not Available
Authorized Shares: Not Available
Par Value: 0.01






$ETFC extra dd links


Company name: E*TRADE Financial, Inc.
Company website: http://www.etrade.com

## STOCK DETAILS ##
After Hours Quote (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/after-hours
Option Chain (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/option-chain
Historical Prices (yahoo.com): http://finance.yahoo.com/q/hp?s=ETFC+Historical+Prices
Company Profile (yahoo.com): http://finance.yahoo.com/q/pr?s=ETFC+Profile
Industry (yahoo.com): http://finance.yahoo.com/q/in?s=ETFC+Industry

## COMPANY NEWS ##
Market Stream (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stream
Latest news (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/news - http://finance.yahoo.com/q/h?s=ETFC+Headlines

## STOCK ANALYSIS ##
Analyst Research (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/analyst-research
Guru Analysis (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/guru-analysis
Stock Report (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stock-report
Competitors (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/competitors
Stock Consultant (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stock-consultant
Stock Comparison (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/stock-comparison
Investopedia (investopedia.com): http://www.investopedia.com/markets/stocks/ETFC/?wa=0
Research Reports (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/research
Basic Tech. Analysis (yahoo.com): http://finance.yahoo.com/q/ta?s=ETFC+Basic+Tech.+Analysis
Barchart (barchart.com): http://www.barchart.com/quotes/stocks/ETFC
DTCC (dtcc.com): http://search2.dtcc.com/?q=E%2ATRADE+Financial%2C+Inc.&x=10&y=8&sp_p=all&sp_f=ISO-8859-1
Spoke company information (spoke.com): http://www.spoke.com/search?utf8=%E2%9C%93&q=E%2ATRADE+Financial%2C+Inc.
Corporation WIKI (corporationwiki.com): http://www.corporationwiki.com/search/results?term=E%2ATRADE+Financial%2C+Inc.&x=0&y=0
WHOIS (domaintools.com): http://whois.domaintools.com/http://www.etrade.com
Alexa (alexa.com): http://www.alexa.com/siteinfo/http://www.etrade.com#
Corporate website internet archive (archive.org): http://web.archive.org/web/*/http://www.etrade.com

## FUNDAMENTALS ##
Call Transcripts (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/call-transcripts
Annual Report (companyspotlight.com): http://www.companyspotlight.com/library/companies/keyword/ETFC
Income Statement (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/financials?query=income-statement
Revenue/EPS (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/revenue-eps
SEC Filings (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/sec-filings
Edgar filings (sec.gov): http://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0001015780&owner=exclude&count=40
Latest filings (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/filings
Latest financials (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/financials
Short Interest (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/short-interest
Dividend History (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/dividend-history
RegSho (regsho.com): http://www.regsho.com/tools/symbol_stats.php?sym=ETFC&search=search
OTC Short Report (otcshortreport.com): http://otcshortreport.com/index.php?index=ETFC
Short Sales (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/short-sales
Key Statistics (yahoo.com): http://finance.yahoo.com/q/ks?s=ETFC+Key+Statistics
Insider Roster (yahoo.com): http://finance.yahoo.com/q/ir?s=ETFC+Insider+Roster
Income Statement (yahoo.com): http://finance.yahoo.com/q/is?s=ETFC
Balance Sheet (yahoo.com): http://finance.yahoo.com/q/bs?s=ETFC
Cash Flow (yahoo.com): http://finance.yahoo.com/q/cf?s=ETFC+Cash+Flow&annual

## HOLDINGS ##
Major holdings (cnbc.com): http://data.cnbc.com/quotes/ETFC/tab/8.1
Insider transactions (yahoo.com): http://finance.yahoo.com/q/it?s=ETFC+Insider+Transactions
Insider transactions (secform4.com): http://www.secform4.com/insider-trading/ETFC.htm
Insider transactions (insidercrow.com): http://www.insidercow.com/history/company.jsp?company=ETFC
Ownership Summary (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/ownership-summary
Institutional Holdings (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/institutional-holdings
Insiders (SEC Form 4) (nasdaq.com): http://www.nasdaq.com/symbol/ETFC/insider-trades
Insider Disclosure (otcmarkets.com): http://www.otcmarkets.com/stock/ETFC/insider-transactions

## SOCIAL MEDIA AND OTHER VARIOUS SOURCES ##
PST (pennystocktweets.com): http://www.pennystocktweets.com/stocks/profile/ETFC
Market Watch (marketwatch.com): http://www.marketwatch.com/investing/stock/ETFC
Bloomberg (bloomberg.com): http://www.bloomberg.com/quote/ETFC:US
Morningstar (morningstar.com): http://quotes.morningstar.com/stock/s?t=ETFC
Bussinessweek (businessweek.com): http://investing.businessweek.com/research/stocks/snapshot/snapshot_article.asp?ticker=ETFC


slfw
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zakif5977 zakif5977 10 years ago
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Nebuchadnezzar Nebuchadnezzar 10 years ago
PLEASE ELABORATE ON THIS!!!!

i think i get it, but please go on and on.


[b]If Etrade is forced to purchase all the shares they have collected the funds for and placed markers in clients accounts

is this why some companies had no SHORT DATA for years??
👍️0
swanlinbar swanlinbar 10 years ago
E*TRADE Upgraded to Outperform - Analyst Blog
Date : 11/18/2013 @ 11:00AM
Source : Zacks
Stock : Ladenburg Thalmann Financial Services (LTS)
Quote : 2.63 0.01 (0.38%) @ 3:15PM
E*TRADE Upgraded to Outperform - Analyst Blog
Print
Alert
On Nov 13, 2013, we upgraded our long-term recommendation on E*TRADE Financial Corporation (ETFC) to Outperform from Neutral based on strong third-quarter 2013 earnings. Decrease in expenses reflects the company’s successful cost reduction initiatives. Further, E*TRADE’s decision to focus on core operations and exit the market making business is expected to improve profitability.

Why Outperform?

Though earnings per share of 16 cents were in line with the Zacks Consensus Estimate, it improved significantly from the net loss of 10 cents reported in the prior-year quarter. A rise in total daily average revenue trades (DARTs) and prudent expense management were the positives for the quarter. Moreover, decrease in provisions and a strong capital position were the tailwinds. However, reduced revenues remain a matter of concern.

Though volatility in equity markets has affected the level of DARTs over the past few years, the recent rebound in equity markets has been favorable for the company. Notably, DARTs for the nine months ended Sep 30, 2013 nudged up 5% year over year to 147,777. Moreover, the company’s aggressive focus on loss mitigation strategies such as short sales, loan modifications and transfers to better servicers are expected to enhance DARTs in the coming months.

We also commend the company’s efforts to ease its balance sheet risk by reducing credit risk in its loan portfolios. Further, cost reduction initiatives undertaken by the company are expected to be profitable in the future.

Following impressive third-quarter 2013 results, the Zacks Consensus Estimate over the last 30 days for 2013 increased 6.3% to 68 cents. For 2014, the Zacks Consensus Estimate rose 7.7% to 84 cents per share, over the same time frame. Currently, E*TRADE carries a Zacks Rank #3 (Hold).

Other Stocks to Consider

Some better-performing stocks in the same sector include Ladenburg Thalmann Financial Services Inc. (LTS) with a Zacks Rank #1 (Strong Buy), while Evercore Partners Inc. (EVR) and Interactive Brokers Group, Inc. (IBKR) carry a Zacks Rank #2 (Buy).



E TRADE FINL CP (ETFC): Free Stock Analysis Report
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AlanC AlanC 11 years ago
If Etrade is forced to purchase all the shares they have collected the funds for and placed markers in clients accounts, I would expect it will really impact their operation. I'm not sure how they will be able to create value for shareholders, rather, I think shareholder value will diminish. I wonder if the auditors are seeing the real books?
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - E-Trade 1st-quarter profit slumps 44 percent

E-Trade 1st-quarter profit slumps 44 percent as revenue falls and tax gain isn't repeated

By Steve Rothwell, Business Writer | Associated Press – 3 hrs ago

NEW YORK (AP) -- Online broker E-Trade Financial Corp. said that its first-quarter profit fell 44 percent as revenue declined and a tax benefit wasn't repeated.

E-Trade said net income dropped to $35 million, or 12 cents per share, in the first three months of the year, down from $63 million, or 22 cents per share, in the same period a year earlier. The earnings were in line with analyst's estimates, according to FactSet.

Revenue fell 14 percent to $420 million from $489 million from the same period a year ago. E-Trade, which is based in New York, said it added 30,000 net new accounts, compared with 10,000 in the last three months of 2012, and 46,000 in the same period a year ago.

Paul Idzik, who was appointed CEO in January, said that his focus would be to expand the company's core business.

"I see a meaningful opportunity for E-Trade — both in terms of driving a superior customer experience, and in creating value for shareholders," Idzik said in a company statement.

The average commission per trade rose to $11.30, compared with $11.04 in the first quarter a year ago.

E-Trade shares rose 4.6 percent to $9.98 in after-hours trading, following the release of the report. The company's stock was up 6.6 percent for the year at $9.54 at the close of trading Thursday.

http://news.yahoo.com/e-trade-1st-quarter-profit-225032441.html
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AlanC AlanC 11 years ago
Ya think they may be a tad short? lol
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SevenTenEleven SevenTenEleven 11 years ago
They just floated senior bonds for $1.3B. Something is not right with their books, IMO.
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AlanC AlanC 11 years ago
Interesting things happening at Etrade. Hmmmmnmm! Will there be an exodus of cash?
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - E*TRADE Securities LLC ("E*TRADE") is pleased to announce that the current program for uninvested cash in your brokerage account, the Cash Balance Program ("CBP"), is being replaced by the JP Morgan Liquid Assets Money Market Fund E*TRADE Class, ticker symbol JLEXX ("JPM MMF" or the "Fund"). This change is being made pursuant to Section 4(i) of the E*TRADE Brokerage Customer Agreement.

No action is required on your part for this change.

On or around December 21, 2012, any cash balances in your CBP will be automatically transferred to purchase shares of the JPM MMF. There will be no change in access to funds in your E*TRADE account — you can continue to add funds, write checks or use your ATM/Debit Card as you do today.

Currently, the cash in the CBP program is protected up to $250,000 by the Securities Investor Protection Corporation ("SIPC"). SIPC covers up to $500,000 for securities and cash including a maximum of $250,000 for claims of cash. SIPC coverage also applies to the JPM MMF shares as securities. Please visit www.sipc.org for more information.

The CBP currently pays interest at a rate of 0.01%. The JPM MMF is a money market mutual fund that makes investments in securities and other assets. Its investment objective is to seek current income with liquidity and stability of principal by investing in high-quality, short-term money market instruments. The 7-day yield for the Fund as of market close on 11/9/12 was 0.05%.¹

Investments in JPM MMF are not deposits or obligations of, or guaranteed or endorsed by, any bank and are not insured or guaranteed by the Federal Deposit Insurance Corporation or any other government agency. Although the Fund seeks to preserve the value of your investment at $1.00 per share, it is possible to lose money by investing in the Fund. Please review the enclosed summary prospectus for further information about the Fund's performance, investment objectives, risks, charges and expenses. The full prospectus for the Fund and the Statement of Additional Information can be found online at www.etrade.com/prospectus and can also be provided free of charge by calling 1-800-387-2331. The information in the prospectus should be considered carefully before making your decision.

There will be no cost to you and E*TRADE will comply with U.S. Securities and Exchange Commission Regulation S-P (Privacy of Consumer Financial Information) in connection with the transfer.

For more information, please review the following enclosed documents:

• Frequently Asked Questions – this document (shown below) details the change that will be happening within your account as well as additional information about the Fund.
• Summary Prospectus for the JPM MMF.

If you do not select a different option before December 21, 2012, the program for uninvested cash in your brokerage account will be changed to the JPM MMF. However, you may elect to change this option at any time in the future with no cost, subject to the availability of alternative programs at that time (please visit www.etrade.com/sweepoptions for all the options that may be available to you). If you have any questions about this change or you wish to remain in the Cash Balance Program, please call us at 1-800-ETRADE-1 (1-800-387-2331) from 7 a.m. until midnight ET, any day of the week.

Thank you and we look forward to continuing to serve you for all your investing needs.

Sincerely,

Michael J. Curcio
CEO, E*TRADE Securities LLC
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AlanC AlanC 11 years ago
Wonder if they will be rated Triple A by Moody's.
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - E*TRADE Financial Corporation Announces Pricing of Senior Notes

E*Trade Financial Corp. (MM) (NASDAQ:ETFC)

Today : Wednesday 7 November 2012


E*TRADE Financial Corporation (NASDAQ: ETFC) today announced that it has priced an offering of $1,305 million in aggregate principal amount of Senior Notes in two tranches, issued at par. The first tranche of $505 million aggregate principal amount of Senior Notes due 2017 will bear interest at an annual rate of 6.000% and are callable beginning November 15, 2014. The second tranche of $800 million aggregate principal amount of Senior Notes due 2019 will bear interest at an annual rate of 6.375% and are callable beginning November 15, 2015. E*TRADE expects to close the sale of the notes on November 14, 2012 subject to the satisfaction of the customary closing conditions.

E*TRADE will use the net proceeds from the sale of the notes to redeem all of its outstanding 12.500% Springing Lien Notes due 2017 and all of its 7.875% Senior Notes due 2015 for an aggregate redemption price of $1,305 million, which includes the associated redemption premiums, principal amount, accrued interest and related fees and expenses.

BofA Merrill Lynch, Goldman, Sachs & Co. and Morgan Stanley are serving as joint lead book-runners for the offering.

The offering of the notes is made only by means of a prospectus supplement and the accompanying prospectus, copies of which may be obtained from BofA Merrill Lynch, 222 Broadway, 11th Floor, New York, NY 10038, Attention: Prospectus Department or by e-mail: dg.prospectus_requests@baml.com.

This press release does not constitute an offer to sell or a solicitation of an offer to buy any of the notes or any other securities, nor will there be any sale of the notes or any other securities in any state or jurisdiction in which such an offer, solicitation or sale is not permitted.

About E*TRADE Financial

The E*TRADE Financial family of companies provides financial services including online brokerage and related banking products and services to retail investors. Specific business segments include Trading and Investing and Balance Sheet Management. Securities products and services 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 is available at www.etrade.com.

Important Notices

E*TRADE Financial, E*TRADE and the E*TRADE logo are trademarks or registered trademarks of E*TRADE Financial Corporation. ETFC-G

Forward-Looking Statements: This press release contains forward-looking statements, including statements relating to E*TRADE’s expectations regarding the completion, timing and size of the proposed public offering. These forward-looking statements are based on current expectations that are subject to a number of uncertainties and risks, and actual results and the timing of events may differ materially. The uncertainties and risks include, but are not limited to, uncertainties and risks related to market conditions and the satisfaction of customary closing conditions related to the public offering. There can be no assurance that the public offering will be completed on the anticipated terms, or at all. Additional risks and uncertainties can be found in the annual, quarterly and current reports on Form 10-K, Form 10-Q, and Form 8-K previously filed by E*TRADE with the Securities and Exchange Commission (including information in these reports under the caption “Risk Factors”). Any forward-looking statement included in this release speaks only as of the date of this communication; the Company disclaims any obligation to update any information.

© 2012 E*TRADE Financial Corporation. All rights reserved.
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AlanC AlanC 11 years ago
Think the Christmas bonuses will be a tad smaller this year?
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - They are looking to raise quite a bit of capital. Wonder why? Capital requirements falling a bit short on their shorting?
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AlanC AlanC 11 years ago
Just a matter of time! Will they even exist when those notes come due? Imagine having to earn money the old fashioned way, honestly?
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - Looks like they are in need of capital. Over a billion dollars required to keep this company from getting margin calls on the counterfeit electronic equity we all hold in our retail accounts.
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - E*TRADE Financial Corporation Announces Proposed Offering of Senior Notes

E*Trade Financial Corp. (MM) (NASDAQ:ETFC)

Today : Monday 5 November 2012


E*TRADE Financial Corporation (NASDAQ: ETFC) today announced that it proposes to offer, subject to market and other considerations, $1,305 million in aggregate principal amount of Senior Notes in two tranches due 2017 and 2019, respectively. Actual terms of the notes, including the interest rate, principal amount, and redemption provisions, will depend on market conditions at the time of pricing.

E*TRADE will use the net proceeds from the sale of the notes to redeem all of its outstanding 12.500% Springing Lien Notes due 2017 and all of its 7.875% Senior Notes due 2015 for an aggregate redemption price of $1,305 million, which includes the associated redemption premiums, principal amount, accrued interest and related fees and expenses.

BofA Merrill Lynch, Goldman, Sachs & Co. and Morgan Stanley are serving as joint lead book-runners for the offering.

The offering of the notes is made only by means of a prospectus supplement and the accompanying prospectus, copies of which may be obtained from BofA Merrill Lynch, 222 Broadway, 11th Floor, New York, NY 10038, Attention: Prospectus Department or by e-mail: dg.prospectus_requests@baml.com.

This press release does not constitute an offer to sell or a solicitation of an offer to buy any of the notes or any other securities, nor will there be any sale of the notes or any other securities in any state or jurisdiction in which such an offer, solicitation or sale is not permitted.

About E*TRADE Financial

The E*TRADE Financial family of companies provides financial services including online brokerage and related banking products and services to retail investors. Specific business segments include Trading and Investing and Balance Sheet Management. Securities products and services 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 is available at www.etrade.com.

Important Notices

E*TRADE Financial, E*TRADE and the E*TRADE logo are trademarks or registered trademarks of E*TRADE Financial Corporation. ETFC-G

Forward-Looking Statements: This press release contains forward-looking statements, including statements relating to E*TRADE’s expectations regarding the completion, timing and size of the proposed public offering. These forward-looking statements are based on current expectations that are subject to a number of uncertainties and risks, and actual results and the timing of events may differ materially. The uncertainties and risks include, but are not limited to, uncertainties and risks related to market conditionsand the satisfaction of customary closing conditions related to the public offering. There can be no assurance that the public offering will be completed on the anticipated terms, or at all. Additional risks and uncertainties can be found in the annual, quarterly and current reports on Form 10-K, Form 10-Q, and Form 8-K previously filed by E*TRADE with the Securities and Exchange Commission (including information in these reports under the caption “Risk Factors”). Any forward-looking statement included in this release speaks only as of the date of this communication; the Company disclaims any obligation to update any information.

© 2012 E*TRADE Financial Corporation. All rights reserved.
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - Investors and traders need to understand the fine print for ETrade.

My wife has the exact same account that I have with ETFC. Because I am a more active trader, my sell orders and buy orders will execute significantly sooner than hers at the same offers. Even if her order was entered well ahead of mine.

Keep that in mind when selecting which broker to represent your interests.
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AlanC AlanC 11 years ago
E*Trade Reviews Practices on 'Best Execution' for Stock Trades

November 2, 2012, 10:27 a.m. ET
By BRETT PHILBIN
http://online.wsj.com/article/SB10001424052970203707604578094632231507790.html

E*Trade Financial Corp. says it has implemented a review of its order-handling practices and pricing for order flow to ensure customers got "best execution," after a member of its board raised questions, according to a regulatory filing.

In the online brokerage's quarterly report, filed late Thursday with the Securities and Exchange Commission, E*Trade said the review—initiated at the request of its chairman, Frank Petrilli, and its general counsel—is "being conducted by separate firms of outside broker-dealer and bank regulatory counsel."

E*Trade says that so far, those firms have recommended that the company "implement changes to improve upon our standards, processes and compliance procedures," noting it agrees with the recommendations and "is implementing them."

The purpose of the review, which is continuing, is to ensure the broker/dealer, E*Trade Securities, is providing "best execution" of customer orders and "dealing appropriately with its affiliate under applicable regulatory standards," the company said. "Best execution" refers to brokers' legal obligation to get the best prices for customers' trades in the shortest time frame.

In the filing, E*Trade said it has informed "applicable regulatory agencies" of the review and if violations are found "bank and federal and state securities regulators could initiate investigations and we could be subject to monetary penalties and cease-and-desist orders."

The company also said that claims may be made by customers of its broker/dealer and that any of those actions could "adversely affect our market making and trade execution businesses."

Representatives for E*Trade didn't immediately respond to a request for comment.

E*Trade has been struggling for nearly five years to recover from bad bets made by its banking unit on the U.S. housing market. The online brokerage is currently in the midst of a search for new chief executive after it fired CEO Steven Freiberg in August. His termination came as E*Trade's stock traded near multiyear lows and after the company decided not to pursue a potential sale amid prodding by its largest shareholder, hedge fund giant Citadel LLC.

http://online.wsj.com/article/SB10001424052970203707604578094632231507790.html
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SevenTenEleven SevenTenEleven 11 years ago
ETFC - OUCH! Looks like the stock is going to open up significantly down.
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KeaneO KeaneO 11 years ago
well that earnings report sucked
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SevenTenEleven SevenTenEleven 12 years ago
ETFC - Equity Research on E*TRADE Financial Corp. and Charles Schwab Corp. -- Investment Brokerages Battling Uncertainty

E*Trade Financial Corp. (MM) (NASDAQ:ETFC)

Today : Tuesday 11 September 2012


www.ShinesRooms.com has a handpicked team of market professionals with over 100 years of combined investing experience. Today they are providing members comprehensive research on the Investment Brokerage - National industry and are offering free analytical research on E*TRADE Financial Corporation (NASDAQ: ETFC) and The Charles Schwab Corp. (NYSE: SCHW). Register with us now to have free access to these research reports. Simply click on the link below.

http://www.ShinesRooms.com/index.php?_controller=RegisterMember&_method=index
Companies in the Investment Brokerage - National industry, such as E*TRADE Financial Corporation and The Charles Schwab Corp., have had a challenging road as of late. The continued uncertainty of the macroeconomic climate has kept many investors out of the equity markets, and with no definitive end in sight, trading levels could remain subdued for some time. Varying interest rates are also a concern at present. Get your free reports on E*TRADE Financial Corporation and The Charles Schwab Corp. at http://www.ShinesRooms.com/index.php?_controller=RegisterMember&_method=index. There is no commitment to join.

ShinesRooms.com is the Ultimate Trading Environment for investors. If you are considering owning E*TRADE Financial Corporation and The Charles Schwab Corp. then you should sign up for a free membership and our complimentary reports today. Over the last 5 years our returns outpaced any of the major indexes. Sign up today by clicking on the link below to find out what you are missing.

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Daily Average Revenue Trades, or DARTs, a key metric for the industry, have recently fallen in year-over-year comparisons for a number of companies. E*TRADE managed to grow its July average U.S. Trades numbers by 4% sequentially. However, DARTs were down by double digits when compared year-over-year. E*TRADE Financial Corporation report is accessible for free by registering today at

http://www.ShinesRooms.com/ETRADEFinancialCorporation110912.pdf

While the industry has its share of headwinds, the future could be brighter moving forward. The U.S. seems to be taking steps to right itself, and investors may return from the slow summer season with a new interest in the markets. The Charles Schwab Corp. report is accessible for free by registering today at

http://www.ShinesRooms.com/TheCharlesSchwabCorp110912.pdf

The two Investment Brokerage - National stocks research reports are available for free by signing up now on the link below.

www.ShinesRooms.com

About Shinesrooms.com

Shine's Rooms is the brainchild of David Shine, a 13-year Wall Street veteran with a stellar track record. For 13 years Shine has trained thousands of traders to navigate and profit from the markets. Using cutting-edge technology, Shine provides you with a community in which you can trade alongside Shine and his Team as they guide you through the market's ever-changing landscape.

To view our disclaimer, visit this link http://www.shinesrooms.com/disclaimer.html.

Contact Person:



Michael Thomas Smith

Marketing Coordinator

info@shinesrooms.com
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BlueBookStockGuide BlueBookStockGuide 12 years ago
Bug fix for ETFC from previous post : sorry server error

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BlueBookStockGuide BlueBookStockGuide 12 years ago
Chart shows EFTC near its 100 day moving average:

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SevenTenEleven SevenTenEleven 12 years ago
ETFC - E*TRADE Board of Directors Appoints Chairman Frank J. Petrilli Interim Chief Executive Officer

E*Trade Financial Corp. (MM) (NASDAQ:ETFC)

Today : Friday 10 August 2012


E*TRADE Financial Corporation (NASDAQ: ETFC) today announced that its Board of Directors has appointed Frank J. Petrilli to serve as interim Chief Executive Officer, effective immediately. Mr. Petrilli’s appointment follows the departure of Steven J. Freiberg. In conjunction with today’s announcement, Rodger Lawson has been appointed as Lead Independent Director to serve as a representative for the non-management directors. Mr. Petrilli, who has served on E*TRADE’s Board since January 2012, will remain as Chairman.

“E*TRADE is a fantastic company with an enduring and iconic brand, a top-notch product and service offering, and a dedicated senior management team,” said Frank J. Petrilli, Chairman and interim CEO of E*TRADE Financial. “The Company recently implemented a refined business strategy, centered on strengthening the firm’s financial position, while continuing to focus on the core brokerage business – the heart of the Company. We have realigned the Bank organization to exclusively focus on de-risking and de-leveraging while bolstering the Company’s enterprise risk management function. Additionally, we are focused on reducing costs with an enhanced focus on efficiencies. Accordingly, the Board believes it is an appropriate time to transition the role of CEO to a new leader to guide the Company through the next phase of its evolution.”

The Board has formed a committee to oversee the process of searching for a permanent CEO, which will retain a leading executive search firm to assist in identifying qualified external candidates to fill the position. The selection committee will focus on candidates who have a strong understanding of the brokerage industry, a foundation in enterprise risk management, and a depth of experience that will allow them to immediately lead E*TRADE’s strategy and management team. The committee of the Board responsible for the executive search is composed of Frank Petrilli, Rodger Lawson, Kenneth Griffin, Donna Weaver and Stephen Willard.

“On behalf of the Board and everyone at E*TRADE, I would like to thank Steve for his leadership, commitment and many contributions. We wish Steve all the best in his future endeavors,” added Petrilli.

About Frank J. Petrilli

Frank J. Petrilli, 61, has been a director and Chairman of the Board since January 2012. Most recently, Mr. Petrilli was Chief Executive Officer of Surge Trading, Inc. and previously served as President and Chief Executive Officer of Nexxar Group, Inc. From 1995 to 2004 he held several positions at TD Waterhouse, during that period a US subsidiary of TD Bank Group, including President and CEO. Prior to TD Waterhouse, he was President and Chief Operating Officer of American Express Centurion Bank. Mr. Petrilli has served on various non-profit boards, including the American Red Cross in Greater New York, Big Brothers Big Sisters of NYC, and Fordham University. He holds a Bachelor of Science from Fordham College of Business and an M.B.A. from Fordham Graduate School of Business and he received his Chartered Financial Analyst (CFA) designation in 1986. Mr. Petrilli is the Chairman and a member of the E*TRADE Bank board, as well as President and CEO of E*TRADE Bank on an interim basis.

About Rodger Lawson

Rodger A. Lawson, 65, has been a director of the Company since February 2012. Mr. Lawson is a retired financial services executive who most recently served as President of Fidelity Investments. Prior to joining Fidelity, Mr. Lawson served in several senior executive roles with Prudential Financial including Vice Chairman of Prudential Financial. He has held numerous other executive positions in financial services, including President and CEO of Van Eck Global, and President, CEO and Partner of Global Private Banking at Bankers Trust Asset Management. Previously, Mr. Lawson was President and CEO of Fidelity Investments Retail Group, and CEO of the Dreyfus Service Corporation. Mr. Lawson is currently on the board of directors of UnitedHealth Group, Inc., where his appointment was endorsed by CalPERS, the largest US public pension fund, for its best practices nomination process. Mr. Lawson is a member of the E*TRADE Bank board, the Audit Committee and the Risk Oversight Committee.

About E*TRADE Financial

The E*TRADE Financial family of companies provides financial services including online brokerage and related banking products and services to retail investors. Specific business segments include Trading and Investing and Balance Sheet Management. Securities products and services 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 is available at www.etrade.com. ETFC-G

Important Notices

E*TRADE Financial, E*TRADE and the E*TRADE logo are trademarks or registered trademarks of E*TRADE Financial Corporation.

Forward-Looking Statements: The statements contained in this news release that are forward looking are based on current expectations that are subject to a number of uncertainties and risks, and actual results may differ materially. The uncertainties and risks include, but are not limited to, potential changes in market activity, anticipated changes in the rate of new customer acquisition and in rate of net acquisition of brokerage accounts and assets, macro trends of the economy in general and the residential real estate market, instability in the consumer credit markets and credit trends, potential changes in liability relating to auction rate securities, increased mortgage loan delinquency and default rates, portfolio growth, portfolio seasoning and resolution through collections, sales or charge-offs, the uncertainty surrounding the foreclosure process, and the potential negative regulatory consequences resulting from the implementation of financial regulatory reform as well as from actions by or potentially more restrictive policies or interpretations of the Federal Reserve and the Office of the Comptroller of the Currency or other regulators. Further information about these risks and uncertainties can be found in the annual, quarterly, and current reports on Form 10-K, Form 10-Q, and Form 8-K previously filed by E*TRADE Financial Corporation with the Securities and Exchange Commission (including information in these reports under the caption “Risk Factors”). Any forward-looking statement included in this release speaks only as of the date of this communication; the Company disclaims any obligation to update any information.

© 2012 E*TRADE Financial Corporation. All rights reserved.
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