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4 Apr 2019, 7:23 am
Berger, Director of the SEC’s New York Regional Office, “Wedbush abandoned important responsibilities to its customers by looking the other way in the face of mounting evidence of manipulative conduct. [read post]
13 May 2011, 4:02 pm
The $85,000 was composed of a $40,000 bank account and $45,000 in Southern Company stock, a stock traded on the New York Stock Exchange. [read post]
14 Jul 2010, 10:31 am
Last I checked (which was today), EOG Resources is listed on the New York Stock Exchange. [read post]
4 Oct 2019, 3:00 am
The Foreign Corrupt Practices Act prohibits American companies and overseas firms with stocks trading on U.S. exchanges from paying bribes to foreign officials. [read post]
21 Oct 2011, 3:31 pm
Board Member Concerning the Company’s Acquisition PREET BHARARA, the United States Attorney for the Southern District of New York, and JANICE K. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
2 Apr 2012, 11:02 am
I agree with the New York Times that the first place that reduced oversight would be abused is Silicon Valley. [read post]
18 Jun 2007, 4:26 pm
Shares of New Brunswick, New Jersey-based Johnson & Johnson fell 44 cents to $62.33 in New York Stock Exchange composite trading. [read post]
11 Jan 2007, 1:35 pm
The Corporation's common shares are listed on the New York and Toronto stock exchanges (NYSE: TOC; TSX: TOC). [read post]
12 Sep 2016, 10:01 pm
Marler is mostly getting out of Chipotle’s life just as billionaire activist investor Bill Ackman, and his Pershing Square hedge fund, has acquired a 9.9-percent stake in the chain, which is traded on the New York Stock Exchange. [read post]
31 May 2012, 2:12 pm
" Second, Kanas and Bohlsen were more than able to earn a livelihood: they received $42 million in restricted stock in exchange for the non-compete agreement and the Agreement's exceptions leave room for Kanas and Bohlsen to find new jobs. [read post]
1 Feb 2009, 10:29 pm
. -- Edward Tian, Director for the Asian board of the New York Stock Exchange, on "how to attract worldwide investors. [read post]
25 Apr 2011, 6:32 am
Thus, the only way the New York plaintiffs could merit a fee is if the New York litigation somehow caused the Delaware settlement. [read post]
25 Jun 2010, 8:12 am
Headquarters then incorporated those figures without change into filings made with the Australian Securities Exchange as well as with other exchanges, including the New York Stock Exchange (where the bank’s American Depository Receipts were traded). [read post]
25 May 2015, 4:43 pm
On appeal, the defendants challenged the leakage model of loss causation, arguing that it improperly and illogically showed that the stock as inflated on the first day of the class period without showing how the stock was inflated in the first place. [read post]
22 Jul 2012, 4:58 pm
The terms of the Agreements were ultimately incorporated into final judgments filed by consent in a New York court (the “Judgments”). [read post]
11 Jun 2007, 6:05 pm
The task will soon grow because the New York Stock Exchange is divesting itself of regulatory duties over its membership, which includes most large large brokerage firms. [read post]
18 Oct 2018, 9:30 pm
Securities and Exchange Commission (SEC) concluded that two national stock exchanges—the New York Stock Exchange and NASDAQ—failed to demonstrate that the fees they charged for access to market data complied with the Securities Exchange Act of 1934. [read post]
22 Feb 2012, 3:06 am
Officials for Alleged Torture Overseas (0) Service of Process To Invoke the New York Convention To Achieve Jurisdiction Over Non-U.S. [read post]
23 Mar 2015, 2:16 am
Walmex’s American Depositary Receipts trade on the New York Stock Exchange. [read post]
