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26 Oct 2009, 2:22 pm
Securities and Exchange Commission continue their probes? [read post]
25 Oct 2009, 3:10 pm
New York Mercantile Exchange, Inc., et al., No. 3835-VCN (Del. [read post]
19 Oct 2009, 6:14 am
They can (as TCI's financial advisors did), when pressed, separately analyze the intrinsic value of a class of capital stock and express an appropriately qualified opinion with respect to the fairness of the consideration to be received by holders of that class in exchange for their capital stock independent of the consideration to be received by holders of any other class of capital stock, but most opinion providers will include express language in their… [read post]
19 Oct 2009, 5:00 am
The United States District Court for the Southern District of New York denied the SEC’s “motion for a preliminary injunction on the grounds that the conduct alleged in the complaint--- essentially, computer hacking – cannot be “deceptive” under Section 10(b) of the Securities Exchange Act of 1934 as defined by the Supreme Court unless conduct involved a breach of a fiduciary duty. [read post]
19 Oct 2009, 1:24 am
Lawyer Charged With Lying About Knowledge of 'Pump and Dump' Scheme
The National Law Journal
Federal prosecutors have charged a New York-based lawyer and businessman with obstruction of justice for allegedly lying to investigators during their inquiry into a questionable stock sale. [read post]
16 Oct 2009, 5:00 am
Katz, Secretary (1986-2006), United States Securites and Exchange Commission Edward S. [read post]
13 Oct 2009, 2:41 am
As noted in a prior post (here), trial in the Vivendi securities class action lawsuit began last week in the Southern District of New York. [read post]
12 Oct 2009, 6:01 am
The social issues season also was notable for setting a new record for negotiated withdrawals of resolutions, while the Securities and Exchange Commission staff allowed companies to omit fewer proposals this year. [read post]
9 Oct 2009, 5:00 am
Forest City Enterprises, the majority owner of the New Jersey/Brooklyn Nets is a public company, with its stock traded on the New York Stock Exchange (FCE.A). [read post]
8 Oct 2009, 8:31 am
Its common stock traded on the New York Stock Exchange under the symbol "ACW" until November 12, 2009 when it was delisted and began trading on the Over the Counter Bulletin Board under the symbol "AURD. [read post]
7 Oct 2009, 11:53 am
A former teenage hacker who once served prison time for an online stock-trading scheme pleaded guilty last week to new charges of cracking a New York-based currency exchange service and gifting himself more than $100,000. [read post]
7 Oct 2009, 7:54 am
New York Mercantile Exchange, Inc. et al. [read post]
6 Oct 2009, 4:00 am
In describing one of the specialty areas, Robert Khuzami, in his speech before the New York City Bar, called for the creation of The Market Abuse Unit. [read post]
5 Oct 2009, 5:00 am
Katz, Secretary (1986-2006), United States Securites and Exchange Commission Edward S. [read post]
2 Oct 2009, 10:15 am
Corporate advocates have argued that any marketwide rule should be delayed until 2011 to give companies more time to cope with other regulatory developments, including a New York Stock Exchange rule change that would bar broker votes from uncontested board elections and a proposed set of SEC disclosure rules. [read post]
29 Sep 2009, 6:19 am
Beginning in 2010, under a rule change adopted by the New York Stock Exchange and approved by the Securities and Exchange Commission, discretionary voting by brokers of shares where they have not received voting instructions from shareowners will no longer be allowed in director elections. [read post]
28 Sep 2009, 4:00 am
July 23, 2009), could have saved themselves a lot of trouble had they incorporated in New York rather than Illinois. [read post]
24 Sep 2009, 5:45 am
.; (2) the company’s stock trades on the New York Stock Exchange (“NYSE”); (3) the parent company files financial statements with the Securities and Exchange Commission (“SEC”); and (4) whether the accounting fraud originated from a Florida based subsidiary. [read post]
21 Sep 2009, 7:29 pm
(Note: For more information see Joe Nocera's New York Times Column here, Gary Weiss blog post here, and my blog post here.)The real issue, as I have documented in my blog over the last two years, is Overstock.com's troubling and consistent pattern of false and misleading financial reports and lies by management about the company's financial performance and compliance with securities laws. [read post]
21 Sep 2009, 4:37 am
I was just reading the New York Times article by Steve Lohr about how exciting it is that Zoltar Satellite Alarm Systems will be placing their patents up for auction as if a patent auction were some new and exciting forum where valuable patents can be made available for the public to benefit from them. [read post]
