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18 Jul 2009, 7:31 am
Attorney’s Office for the Southern District of New York earlier in their careers. [read post]
16 Jul 2009, 12:17 pm
Our investor fraud cases have been heard in state and federal courts, as well as in arbitration before the Financial Industry Regulatory Authority, the American Arbitration Association, and the New York Stock Exchange. [read post]
15 Jul 2009, 6:38 am
The Securities and Exchange Commission (SEC) recently approved a New York Stock Exchange (NYSE) proposed amendment to NYSE Rule 452 to prohibit broker's from exercising "discretionary voting" in all director elections. [read post]
15 Jul 2009, 5:32 am
"In an interview with Fortune, Iati recounted how these proprietary trading companies are vying to locate as close to the New York Stock Exchange's new multi-million-dollar data center -- being built in Mahwah, N.J. and set to open in 2010 -- as they can to get the information about trading activity as quickly as possible. [read post]
14 Jul 2009, 8:58 am
Responding to concerns voiced by shareholder activists and others, the Securities and Exchange Commission has approved a rule change by the New York Stock Exchange that eliminates broker discretionary voting in uncontested elections for directors. [read post]
13 Jul 2009, 1:27 pm
Until now, the New York Stock Exchange ("NYSE") had classified uncontested director elections under Rule 452 as a "routine matter," giving brokers the discretion to vote shares held in investors' accounts when they do not receive voting instructions from the beneficial owner within ten days of a company's meeting. [read post]
12 Jul 2009, 7:22 pm
"In a previous blog post, I detailed how in New York Times in 2007 reported that, Caserta "stopped working for InterOil" in 2005. [read post]
10 Jul 2009, 10:45 am
Department of Homeland Security, Secret Service, National Security Agency, Federal Trade Commission, Department of Defense and the State Department, as well as sites for the New York Stock Exchange, Nasdaq, Amazon and Yahoo. [read post]
9 Jul 2009, 12:39 pm
Attorney Lev Dassin in New York said today in a press release. [read post]
8 Jul 2009, 11:16 pm
With respect to debt and equity securities that are the subject of research reports as that term is defined in Rule 472 of the New York Stock Exchange, this requirement may be met by the signature or initial of a supervisory analyst approved pursuant to Rule 344 of the New York Stock Exchange. [read post]
8 Jul 2009, 7:56 pm
So far this blog has shown how InterOil (NYSE: IOC) filed false and misleading reports with the Securities and Exchange Commission and lied to the New York Times about its dealings with Carl Caserta who was banned by the SEC from the securities industry. [read post]
8 Jul 2009, 3:26 pm
Secret Service, National Security Agency, Federal Trade Commission, Department of Defense and the State Department, as well as sites for the New York Stock Exchange and Nasdaq were hit by denial-of-service attacks over the July 4th holiday weekend. [read post]
8 Jul 2009, 8:45 am
Mitch was a professor of physics when, in 1995, he was bitten by the Internet bug and came to New York to become an entrepreneur and consultant. [read post]
8 Jul 2009, 2:16 am
Its shares trade on both the NYSE and the Toronto Stock Exchange. [read post]
7 Jul 2009, 6:14 pm
The Financial Industry Regulatory Authority (FINRA) was established in July 2007 when the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE) were consolidated. [read post]
5 Jul 2009, 7:25 am
(Editor's Note: This post comes from Alex Edmans at the University of Pennsylvania, Xavier Gabaix and Tomasz Sadzik, both of New York University, and Yuliy Sannikov of the University of California, Berkeley.) [read post]
3 Jul 2009, 11:31 am
Four of the brokers named in the lawsuit are from South Florida and two from New York. [read post]
3 Jul 2009, 5:22 am
For those of you whom I haven't met before, I am a New Yorker by birth, a Washingtonian by trade, and a future Mainer when I retire, but at the moment, my heart is in San Diego, not only because I'm standing before you today, but because both of my sons are living here right now. [read post]
2 Jul 2009, 9:16 am
By a 3-2 vote, the SEC gave final approval to a New York Stock Exchange rule change to bar brokers from casting uninstructed client shares in uncontested director elections starting in 2010. [read post]
1 Jul 2009, 9:49 am
By a 3-2 vote, the SEC today approved a long-anticipated New York Stock Exchange proposal to bar brokers from casting uninstructed client shares in uncontested director elections. [read post]
