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2 Dec 2011, 6:57 am
The Securities and Exchange Commission also filed civil charges against Lee, Desjourdy, and Henderson, alleging they manipulated trading in microcap stocks - shares of companies with a small market value that are typically traded over the counter, rather than on better-known exchanges such as Nasdaq Stock Market or the New York Stock Exchange. [read post]
2 Dec 2011, 6:57 am
The Securities and Exchange Commission also filed civil charges against Lee, Desjourdy, and Henderson, alleging they manipulated trading in microcap stocks - shares of companies with a small market value that are typically traded over the counter, rather than on better-known exchanges such as Nasdaq Stock Market or the New York Stock Exchange. [read post]
2 Dec 2011, 5:00 am
But then came the collapse in the stock market [read post]
1 Dec 2011, 1:58 pm
Established in 2007, FINRA is the result of a merger of two sets of self-regulatory organizations, the New York Stock Exchange's enforcement arm and the National Association of Securities Dealers. [read post]
30 Nov 2011, 3:49 pm
Bankruptcy Court, Southern District of New York (Manhattan). [read post]
30 Nov 2011, 7:47 am
Shareholders can’t be happy either: the stock has lost about 60% over the past year. [read post]
25 Nov 2011, 1:50 am
The article from the New York Times Dealbook can be accessed here. [read post]
21 Nov 2011, 9:45 am
The plaintiffs simultaneously filed another action against the Federal Reserve Bank of New York in federal court in Manhattan, for breach of fiduciary duty. [read post]
20 Nov 2011, 5:20 am
As Santa Clara Law School Professor Eric Goldman told the New York Times, “’How much of Google’s overall revenues are tied to product lines that are questionable? [read post]
20 Nov 2011, 5:20 am
As Santa Clara Law School Professor Eric Goldman told the New York Times, “’How much of Google’s overall revenues are tied to product lines that are questionable?’ [read post]
19 Nov 2011, 5:42 am
The New York Times on November 17, 2011 released the following: “BY KEVIN ROOSE It may be the new, new thing in fraud. [read post]
19 Nov 2011, 5:42 am
The New York Times on November 17, 2011 released the following: “BY KEVIN ROOSE It may be the new, new thing in fraud. [read post]
18 Nov 2011, 6:42 am
’s New York regional director, said in a statement. [read post]
17 Nov 2011, 2:44 pm
The video above, produced by Wired’s Mark Riffee, shows the New York Police Department out in force on Thursday morning to foil the #OWS plan to shut down the New York Stock Exchange before the opening bell. [read post]
17 Nov 2011, 1:31 pm
Protesters marched from their former home in Zuccotti Park and blocked intersections near the New York Stock Exchange. [read post]
17 Nov 2011, 12:41 pm
Hundreds of Occupy Wall Street protesters marched on the New York Stock Exchange on Thursday, engaging in scuffles with the police throughout the day. [read post]
17 Nov 2011, 8:06 am
The notice stated that broker-dealer firms that allow the use of any title or designation that conveys expertise in senior investments or retirement planning where such expertise does not exist may violate FINRA Rule 2010, NASD Rule 2210, New York Stock Exchange (NYSE) Rule 472, and anti-fraud provisions of the federal securities laws. [read post]
17 Nov 2011, 8:06 am
The notice stated that broker-dealer firms that allow the use of any title or designation that conveys expertise in senior investments or retirement planning where such expertise does not exist may violate FINRA Rule 2010, NASD Rule 2210, New York Stock Exchange (NYSE) Rule 472, and anti-fraud provisions of the federal securities laws. [read post]
17 Nov 2011, 7:37 am
Lynch, United States Attorney for the Eastern District of New York, and Janice K. [read post]
17 Nov 2011, 7:37 am
Lynch, United States Attorney for the Eastern District of New York, and Janice K. [read post]
