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15 Nov 2011, 11:04 pm
In 2002, then New York State Attorney General Eliot Spitzer, published Merrill Lynch e-mails in which Blodget gave assessments about stocks which conflicted with what was publicly published.[4] In 2003, he was charged with civil securities fraud by the U.S. [read post]
15 Nov 2011, 12:00 am
The SEC approved similar new listing requirements for the New York Stock Exchange and the NYSE Amex (here and here). [read post]
14 Nov 2011, 9:06 am
And, of course, stock market gains make the disparity much worse. [read post]
14 Nov 2011, 7:13 am
In the past 10 years, dozens of Chinese corporations have found a back-door way of selling their shares to the American public through reverse mergers with nearly-defunct or thinly-capitalized American corporations, having previously established share listings with the New York Stock Exchange and the NASDAQ stock market. [read post]
14 Nov 2011, 7:13 am
In the past 10 years, dozens of Chinese corporations have found a back-door way of selling their shares to the American public through reverse mergers with nearly-defunct or thinly-capitalized American corporations, having previously established share listings with the New York Stock Exchange and the NASDAQ stock market. [read post]
14 Nov 2011, 3:00 am
Barasch tendered her original stock certificate to Williams Oldco. [read post]
13 Nov 2011, 6:32 pm
Exchange-Listed Securities There is a nationwide exemption from state registration for any security listed on the New York Stock Exchange, the American Stock Exchange, or NASDAQ, as well as for any security issued by a company that already has listed securities, so long as the offered security is of equal or higher rank than the listed security. [read post]
13 Nov 2011, 1:13 pm
Arrow Financial is owned by Sallie Mae, a company whose stock is traded on the New York Stock Exchange (ticker symbol SLM). [read post]
11 Nov 2011, 10:25 am
The New York Stock Exchange delisted Longtop in August and the company has been trading in the over-the-counter market since. [read post]
10 Nov 2011, 8:01 am
CME Group, of course, runs the Chicago Mercantile Exchange, the Chicago Board of Trade and the New York Mercantile Exchange. [read post]
10 Nov 2011, 12:03 am
First, the company’s shares trade on the Tokyo Stock Exchange. [read post]
9 Nov 2011, 8:48 pm
Yesterday, the US Securities and Exchange Commission approved rule changes requested by the three major US stock exchanges, Nasdaq, the NYSE Amex and the New York Stock Exchange. [read post]
3 Nov 2011, 11:01 am
Securities and Exchange Commission about her participation in a particular stock transaction. [read post]
2 Nov 2011, 5:38 pm
The alleged attacks were not only against government sites; they allegedly included, “according to a cyber-security specialist who has been tracking the incidents, . . . those run by the New York Stock Exchange, Nasdaq, The Washington Post, Amazon.com and MarketWatch. [read post]
28 Oct 2011, 3:20 pm
Located in Washington, D.C., it was created in July 2007 through the consolidation of NASD and the regulation, enforcement and arbitration functions of the New York Stock Exchange. [read post]
27 Oct 2011, 3:34 pm
Kupersmith also faces charges in New York, including first and second-degree grand larceny, scheming to defraud, and violating New York's General Business Law. [read post]
27 Oct 2011, 1:52 pm
If you have been arrested or investigated for insider trading in New York City, then call our Securities Fraud Criminal Defense Lawyers at (212) 577-6677 for professional legal advice. [read post]
27 Oct 2011, 5:18 am
The record fails to provide any explanation sufficient to relate the injury sustained to the operation of the force of gravity (see Runner v New York Stock Exchange, Inc., 13 NY3d 599 [2009], supra). [read post]
26 Oct 2011, 11:24 am
The spin-off will be completed through a pro rata dividend of Marriott Vacations Worldwide common stock on Monday, November 21, 2011 to Marriott International shareholders of record as of the close of business of the New York Stock Exchange on Thursday, November 10, 2011. [read post]
26 Oct 2011, 7:46 am
Douglas Healey for The New York Times Rajat Gupta at his home in Westport, Conn., on Wednesday morning. [read post]
