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30 Aug 2010, 8:17 am
The home where Cool father's lived and died in 2006 is owned by Skilled Healthcare Group, which is traded on the New York Stock Exchange. [read post]
18 Oct 2021, 1:23 am
CION listed its shares on the New York Stock Exchange on October 5, 2021 under the ticker CION after a 2-to-1 reverse stock split on Sept. 21. [read post]
20 Apr 2012, 6:36 am
Reilly, a New York attorney residing in Boca Raton, Florida, from appearing or practicing as an attorney before the SEC. [read post]
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]
24 Jan 2024, 1:47 pm
(CRD#: 10641/SEC#: 801-42709,8-27844), a subsidiary of Atria Wealth, is a dual registered broker dealer and investment advisory firm headquartered in Syracuse, New York. [read post]
23 Sep 2016, 6:05 am
Chang, University of Southern California, on Thursday, September 22, 2016 Tags: Analyst forecasts, Analysts, Behavioral finance, Earnings announcements, Financial reporting, Forecasting,Information environment, Market efficiency, Stock mispricing, Stock returns The Law and Brexit VI Posted by Thomas J. [read post]
30 Sep 2016, 6:09 am
Securities and Exchange Commission, on Friday, September 23, 2016 Tags: Anti-corruption, Asset management, Cross-border transactions, Cybersecurity, Disclosure, Exchange-traded funds,FCPA, International governance, Liquidity, Mutual funds, Oversight, SEC, SEC enforcement, Securities enforcement,Securities regulation NYDFS Proposed Cybersecurity Regulation for Financial Services Companies Posted by Joseph Vitale, Schulte Roth & Zabel LLP, on Saturday, September 24, 2016 … [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]
12 May 2015, 3:12 am
The New York Stock Exchange (“NYSE”) historically has taken a similar view that net share settled or flexible net share settled convertible securities should be viewed as being issued with a conversion price below the greater of book or market value. [read post]
30 Sep 2010, 5:58 am
Chamber of Commerce and the Business Roundtable filed suit against the Securities and Exchange Commission on Wednesday, objecting to new proxy access rules for nominating corporate directors. [read post]
13 Sep 2012, 1:18 am
In criminal proceedings against protesters involved in the Occupy Wall Street movement, a New York state court ordered Twitter several weeks ago to turn over various tweets that a protester deleted from his twitter feed relating to the movement’s blocking of the Brooklyn Bridge last year. [read post]
13 Sep 2012, 1:18 am
In criminal proceedings against protesters involved in the Occupy Wall Street movement, a New York state court ordered Twitter several weeks ago to turn over various tweets that a protester deleted from his twitter feed relating to the movement’s blocking of the Brooklyn Bridge last year. [read post]
15 Apr 2020, 6:50 am
The Brent Crude benchmark—also called a “spot price”—determines prices for oil futures traded on exchanges in New York and London. [read post]
15 May 2012, 2:00 am
(“CMB”) to establish a branch in New York, New York, the first such approval for a Chinese bank since the FBSEA. [read post]
11 Jul 2010, 4:22 pm
[T]he firms that are physically located nearest the market centers in New York and pay market-access fees get a leg up. [read post]
1 Apr 2016, 6:00 am
But that doesn’t solve the problem of who will sign off on those reports and whether they will be ready in time to meet its reporting obligations to the Securities and Exchange Commission and the New York Stock Exchange. [read post]
5 Sep 2007, 1:20 am
Board: 400 Bar Exam Takers Submitted Incomplete Essays
New York Law Journal
The New York Board of Law Examiners and Software Secure Inc., the company the board hired to provide software for the bar exam, appear to have incomplete essays from about 400 people who sat for July's exam. [read post]
5 Oct 2018, 1:39 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
17 Jun 2020, 1:49 pm
Our securities arbitration lawyers are licensed to practice in New York and Florida and represent investors nationwide in securities and investment fraud cases. [read post]
25 Aug 2011, 9:10 am
In April 1997 and again in 2003, the New York Stock Exchange and FINRA (then the NASD) recommended that brokers subject to three or more complaints within a five year period ought to be placed upon heightened supervision. [read post]
