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8 Jul 2015, 2:29 pm
He’s accused of convincing four investors that they were investing in his businesses through the use of fraudulent documentation, and then spending the funds on personal expenses, including payments to a golf, hunting and fishing club, and $23,000 to a boarding school in New Hampshire.Late that month, the SEC filed fraud charges against an investment adviser and her New York-based firms accusing them of hiding the poor performance of loan assets in three… [read post]
17 May 2022, 12:30 pm
Attorney’s Office for the Southern District of New York today announced criminal charges for similar conduct against AGI US, Tournant, Taylor, and Bond-Nelson. [read post]
7 Dec 2010, 6:55 am
The advertisement does not need to be filed with the South Dakota Securities Division.* The broker-dealer/agent rules added a rule prohibiting senior-specific certifications or designations, added a rule for "business brokers," slightly modified the agent exam requirement and substituted the term "FINRA" for "NASD" to reflect the current name of that organization that combines the former NASD and New York Stock Exchange.* The… [read post]
12 Jun 2017, 9:17 am
For the first time in history, New York Stock Exchange (NYSE) has approved a cannabis company to have its shares actively traded on the public market. [read post]
6 Jul 2021, 11:47 am
The Lawsuit On July 2, 2021, a plaintiff shareholder filed a securities class action lawsuit in the Southern District of New York against Draft Kings; its Chairman and CEO, Jason Robing; its CFO, Jason Park; Jeff Sagansky, DEAC’s pre-merger CEO and Chairman; and Eli Baker DEAC’s pre-merger CFO and President. [read post]
9 May 2008, 8:09 am
The new code was developed by the Budapest Stock Exchange (BSE), and is voluntary, meaning Hungarian public firm [read post]
8 Nov 2010, 4:28 am
So if you're a capital markets and financial-services-centric law firm based in New York, with 90% or so of your lawyers in New York, what exactly is the plan for the future as New York's market share declines and, perhaps more importantly, as cross-border deal work takes an ever larger share of total global corporate finance? [read post]
2 May 2012, 9:27 am
China may be the fastest-growing significant economy, but over the past year scores of its companies have suffered from accounting problems, seen their auditors resign, and been delisted from stock exchanges from New York to Hong Kong. [read post]
25 May 2012, 7:29 am
The United States District Court for the Southern District of New York dismissed the amended complaint, holding that plaintiffs “failed to cite a point, factually or temporally, when the defendants’ actions added up to something more than an exercise of real-time accounting judgment. [read post]
3 May 2022, 9:05 pm
This post comes to us from Mary Brooke Billings and Kevin Hsueh at New York University, Melissa F. [read post]
6 Jul 2015, 5:08 pm
Walmex’s American Depositary Receipts trade on the New York Stock Exchange. [read post]
4 Jan 2012, 9:00 pm
Ideally, this could work as smoothly as the New York Stock Exchange, or the Nasdaq, where many foreign companies are listed. [read post]
7 Dec 2023, 4:59 am
Liam Stack reports for the New York Times. [read post]
2 Feb 2011, 7:54 pm
"We believe the growth opportunities for BankUnited in the Florida market and beyond are substantial, and we think the next part of the story is over the next three to five years," said BankUnited Chairman and Chief Executive John Kanas, after ringing the opening bell on the New York Stock Exchange Friday. [read post]
11 Feb 2008, 12:00 am
High Court Ruling Ends 6-Month AIDS-Phobia Cutoff
New York Law Journal
People enduring a waiting period to find out if they have contracted the AIDS virus will no longer be limited to receiving damages for only six months of emotional distress, New York's highest court has held. [read post]
17 Feb 2023, 5:06 am
FINRA came about on July 30th, 2007, from the consolidation of the NASD (National Association of Regulatory Authority) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange (NYSE). [read post]
21 Aug 2007, 8:01 pm
The Class A shares gained $2,200, or 1.9%, yesterday in 4 p.m. composite trading on the New York Stock Exchange to $120,700, up 8.2% since Aug. 10 and 9.7% higher in the year to date. [read post]
17 Sep 2009, 2:30 pm
We have also launched a new public-private angel partnership to increase seed funding for New York City businesses by 25%. [read post]
22 Aug 2019, 3:10 pm
Burford’s shares are listed on the London Stock Exchange. [read post]
6 Jun 2023, 9:01 pm
Defendant Slack Technologies, LLC, went public on the New York Stock Exchange (“NYSE”) in 2019 through a direct listing. [read post]
