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25 Jan 2019, 10:43 am
According to SEC filings, American Growth Funding II filed a Form D to raise capital from investors in 2016 in New York, NY. [read post]
11 Mar 2016, 10:57 pm
Similarly, two identical general obligation bonds, both of which have constitutional priority, may not be equal at all if one is governed by the law of Puerto Rico, and another by New York law. [read post]
8 Apr 2020, 11:48 am
On March 30, 2020, the New York Times reported (here) that New York Attorney General Letitia James was investigating Zoom’s data privacy and security practices. [read post]
11 Sep 2010, 9:26 pm
New York has its own "mini-Stark" law addressing referrals to health care entities in which the referring practitioner has an ownership or other financial interest. [read post]
SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer
13 Mar 2017, 7:27 am
The latest example of an enforcement action against both involves a New York broker-dealer and its chief compliance / AML officer. [read post]
7 Aug 2020, 10:45 am
Citing sources from SEC filings, The DI wires writes that In November 2019, Lodging Fund REIT III signed a purchase agreement for hotels located in New York and Pennsylvania and deposited $1.5 million into escrow as earnest money pending the closing or termination of the purchase agreement. [read post]
16 Jun 2011, 2:38 pm
People familiar with the situation said the referrals include trading in the options market and on the New York Stock Exchange. [read post]
13 Mar 2007, 6:25 am
Absent alleging a primary violation of §10(b), a §20A claim can not survive attack.Finally, the court held that a punitive damages claim may not stand as a separate cause of action for pleading purposes under New York law, and, ultimately, denied plaintiffs the ability to replead their claims since their case was “fundamentally without merit. [read post]
5 Feb 2024, 2:05 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
18 Jun 2023, 6:30 am
Background In 2019, Slack, a workplace messaging company, went public on the New York Stock Exchange via a direct listing instead of a traditional IPO. [read post]
18 Jun 2023, 6:30 am
Background In 2019, Slack, a workplace messaging company, went public on the New York Stock Exchange via a direct listing instead of a traditional IPO. [read post]
8 Sep 2022, 12:37 pm
Since August 2020, Athas has been associated with SW Financial out of the firm’s Melville, New York office location. [read post]
29 Aug 2018, 9:18 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
12 Feb 2010, 10:14 am
For example, in cities like Washington, D.C., Austin, Texas and New York City, municipal governments are attempting to create a market for energy efficient buildings by requiring disclosure of building stock energy usage. [read post]
17 Oct 2011, 3:00 am
Listed and sold on the New York Stock Exchange, the Provincial Bonds defaulted when pre-war Germany stopped paying on the bonds in 1933. [read post]
16 Jun 2011, 2:38 pm
People familiar with the situation said the referrals include trading in the options market and on the New York Stock Exchange. [read post]
MLM Scheme, Mannatech, Pays Millions to Victims for Making False Claims of Cures and Health Benefits
21 Apr 2009, 3:31 pm
News from Pyramid Scheme Alert: Mannatech, a long time MLM company, member of the Direct Selling Association and publicly traded on the New York Stock Exchange, has agreed to pay millions of dollars to consumers who were deceived by its false health claims about its products. [read post]
15 Nov 2008, 10:33 pm
" In a devastating article in The New York Times Business Section on November 9th, Gretchen Morgenson demonstrated that O'Neal was wrong on all counts, especially when it came to Merrill's decision in 2006 to invest heavily in the mortgage industry. [read post]
15 May 2023, 9:51 am
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
2 Apr 2021, 12:39 pm
City of New York, 9 N.Y.3d 69, 76, 845 N.Y.S.2d 773, 876 N.E.2d 1189). [read post]
