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28 May 2010, 11:07 am
Last week, as the New York Times reported, the Senate passed a similar bill. [read post]
28 May 2010, 6:15 am
*Securities Law Violations: Includes the act of manipulation or deception along with purchase and selling stocks, bonds, mutual funds, and various securities transaction, whether or not privately or on an open market like the New York Stock Exchange or Nasdaq. [read post]
27 May 2010, 6:46 am
It’s also the second-largest U.S. stock by market value, behind oil company Exxon Mobil Corp., valued at $278.6 billion on the New York Stock Exchange. [read post]
25 May 2010, 6:20 am
A court in New York doesn't have to listen to a Delaware court, or Pennsylvania, or California. [read post]
25 May 2010, 5:47 am
Information on FINRA’s Web site reports that the company was sanctioned in November 2002 in a joint action by the Securities and Exchange Commission (SEC), the New York Stock Exchange Regulation and NASD following investigations tied to conflicts of interest between Piper’s investment banking and research departments. [read post]
21 May 2010, 1:26 pm
The plaintiffs subsequently brought suit against the defendants under Missouri’s blue-sky laws and the defendants sought to apply New York law pursuant to the agreement. [read post]
21 May 2010, 6:15 am
It was formed from a merger of the National Association of Securities Dealers and the self-regulatory functions of the New York Stock Exchange. [read post]
18 May 2010, 7:03 pm
[Robert Frank offers what will I think be the final post in our exchange. [read post]
18 May 2010, 3:20 pm
That amounts to 10.5 percent on an annualized basis, which is far higher than the commission charged on comparable investments, according to Seth Lipner of Deutsch & Lipner, a Garden City, New York-based law firm. [read post]
18 May 2010, 1:38 pm
Just a few weeks after civil claim was filed, the SEC officially referred the investigation to New York prosecutors from the Southern District. [read post]
17 May 2010, 3:13 pm
Seth Lipner of Deutsch & Lipner in Garden City, New York observed that “Reverse convertible notes are speculative, high-risk investments that are totally inappropriate and unsuitable for most income-oriented investors. [read post]
17 May 2010, 2:01 pm
The shareholder uprising is the most significant "vote no" campaign so far this proxy season, and it may provide another illustration of the impact of the New York Stock Exchange rule change to bar broker voting in uncontested board elections. [read post]
17 May 2010, 6:00 am
In New York City alone, estimates of the numbers of units at risk ranges from 60,000 to 90,000. [read post]
13 May 2010, 11:30 am
They do say the precipitous decline was magnified by how some trading platforms, like the old-fashioned New York Stock Exchange, halted trading when the downward spiral began while electronic trading platforms did not. [read post]
13 May 2010, 6:35 am
In 2002, the New York Stock Exchange first mandated that listed companies have a “presiding director” to undertake the functions of presiding at meetings of the independent directors and receiving communications from shareholders. [read post]
11 May 2010, 4:46 am
Kohlberg Kravis Roberts has filed to raise as much as $500 million by selling new shares once the buyout shop moves its listing to the New York Stock Exchange, Bloomberg News reported. [read post]
10 May 2010, 5:10 am
NYSE Euronext (NYX) and the Financial Industry Regulatory Authority May 4 announced that by the end of June, FINRA will take over New York Stock Exchange Regulation’s market surveillance and oversight functions. [read post]
10 May 2010, 3:00 am
Quoting from the New York Court of Appeals' ruling in Cobble Hill Nursing Home, Inc. v. [read post]
7 May 2010, 12:35 pm
On October 9, 2001, The New York Times published an article stating that Merck had reexamined its own data and “found no evidence that Vioxx increased the risk of heart attacks. [read post]
7 May 2010, 12:29 pm
The United States District Court for the Southern District of New York dismissed plaintiffs’ claims against Mayer Brown and its partner. [read post]
