Search for: "NEW YORK STOCK EXCHANGE INC "NYSE""
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24 Jul 2007, 4:46 pm
In one of its final regulatory acts before being folded into the NASD, the New York Stock Exchange's regulatory unit has censured and fined Smith Barney $50 million over illegal trades, failures to supervise and record-keeping violations. [read post]
24 Jul 2007, 11:37 am
The New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
2 Jul 2007, 11:32 am
JUNE 15, 2007: NYSE FINED MORGAN STANLEY $500 THOUSAND FOR FAILURE TO SUPERVISE On June 15, 2007, the New York Stock Exchange fined Morgan Stanley $500,000 for failing to supervise a group of registered representative in its midtown Manhattan office. [read post]
14 Jun 2007, 12:57 am
Judge Rebuffs Stock Exchange's Request to Yank Information Posted by Animal Rights Groups
Daily Business Review
A Florida federal judge has rejected a request by the operator of the New York Stock Exchange that the names and home addresses of its European directors be removed from an Internet site operated by an animal rights group. [read post]
21 May 2007, 10:18 pm
The New York Stock Exchange Regulation Inc. announced that RBC Dain Rauscher Inc. consented to be fined $90,000 for failures related to its anti-money laundering compliance program. [read post]
26 Apr 2007, 5:20 am
As the Breeden Report noted: "Both [Stiles] Kellett and [Max] Bobbitt appeared to satisfy the “independence” standards for directors of the time, and might well satisfy current definitions used by the New York Stock Exchange (“NYSE”) and NASDAQ. [read post]
13 Apr 2007, 1:12 am
Suit Over Merger Proceeds Against NYSE Head
New York Law Journal
A Manhattan judge has declined to dismiss fraud and breach of fiduciary duty allegations against John Thain, the chief executive officer of the New York Stock Exchange, by a former seatholder of the exchange. [read post]
5 Apr 2007, 5:31 am
These kinds of concerns are taking on a new importance in the wake of the upcoming consolidation of the NYSE Group Inc.'s New York Stock Exchange and the National Association of Securities Dealers. [read post]
29 Mar 2007, 5:13 am
Thirteen out of the seventeen director nominees are independent as defined by the New York Stock Exchange Listing Standards, the Sarbanes-Oxley Act and our Director Independence Categorical Standards”. [read post]
13 Mar 2007, 11:08 pm
The regulatory arm of the New York Stock Exchange says UBS Securities is being fined $95,000 for canceling or entering limit-on-close and market-on-close orders in a number of securities after relevant cut-off times. [read post]
9 Mar 2007, 6:49 am
Junk is based in New York, Laurent is based in Chicago and Shnier is based in Los Angeles. [read post]
4 Mar 2007, 5:24 pm
New York Attorney General Andrew Cuomo is bringing in a hired gun to help it try its high-profile suit against former New York Stock Exchange CEO Dick Grasso, along with other cases. [read post]
19 Jan 2007, 2:31 am
New York Stock Exchange KINGS COUNTYCriminal Practice Marital Exception to Third Degree Sexual Abuse Unconstitutional; Defendants Denied Dismissal People v. [read post]
11 Jan 2007, 12:14 am
Former San Diego County Superior Court Judge Vincent DiFiglia, who retired in 2003, also violated a judicial canon by failing to disclose publicly that he had once worked for the defendant's counsel, the San Diego city attorney's office, the commission wrote.
Grasso Fulfilled Duty to New York Stock Exchange, His Lawyer Argues
New York Law Journal
Attorneys for former NYSE Chairman Richard A. [read post]
13 Jul 2006, 8:29 am
Robert Gilmer was employed in the securities industry, and his registration with the New York Stock Exchange provided that he would arbitrate any claim between himself and his employer. [read post]
21 Apr 2005, 11:24 am
[JURIST] Leading Thursday's corporations and securities brief, the New York Stock Exchange (NYSE) [corporate website] announced it will merge with rival Archipelago Holdings Inc. [read post]
