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8 Oct 2010, 8:34 am
The derivative suits were consolidated in the United States District Court for the Eastern District of New York. [read post]
4 Aug 2016, 8:32 am
Jonothon Michael Lieberman of Woodbury, New York submitted an AWC in which he was barred from association with any FINRA member in any capacity. [read post]
12 Dec 2017, 4:36 pm
I see very little distinction — or any — between that and handing someone a piece of paper that says stock. [read post]
14 Dec 2015, 10:01 pm
And while even the lingering diarrhea should end reasonably soon for BC students, some of whom had to miss final exams, the bad times may be just beginning for the company known on the New York Stock Exchange as CMG. [read post]
6 Dec 2010, 12:13 am
In addition to the new suit against China Education Alliance, the same firm also filed a separate lawsuit in the Southern District of New York last week against Mecox Lane Limited, a Chinese company that just completed its U.S. debut in an IPO on Nasdaq in October 2010. [read post]
3 Jun 2022, 1:33 am
As discussed here, in late April 2020, a shareholder plaintiff filed a securities class action lawsuit against SCWorx and Schessel in the Southern District of New York. [read post]
23 Aug 2010, 2:33 pm
The most recent information on Ivy of note is the disclosure in Schedule D to the Ivy Form ADV on the SEC Website (the “Current Ivy ADV”) that the New York Attorney General filed a complaint on May 11, 2010 and a summons on July 22, 2010, against Ivy and two of its officers, alleging violations of New York law by Ivy in “concealing material information concerning Bernard L. [read post]
12 Oct 2020, 3:01 pm
(The next day, a separate but similar complaint was filed against Nikola in the Eastern District of New York, here.) [read post]
8 Nov 2023, 5:43 pm
We have a matter where the stock is publicly traded so we have access to information through the Security and Exchange Commission’s website, EDGAR. [read post]
Activist Shareholder Proposals and HCM Disclosures Pivot to Diversity, Equity, and Inclusion in 2021
24 Mar 2021, 12:47 pm
” Other of Arjuna’s proposals for 2021 include resolutions related to increasing board representation by nominating at least one individual with “an experienced voice with human and civil rights expertise”[6] who “will qualify as an independent director within the listing standards of the New York Stock Exchange. [read post]
27 Dec 2006, 1:28 pm
April 17, 1957 Delta stock begins trading on the New York Stock Exchange. [read post]
2 May 2017, 9:48 am
This level of trading was unsuitable for the customer given her investment profile, including her age, risk tolerance and income needs.Miguel Ortiz (CRD #5893323, New York, New York)Ortiz was barred from association with any FINRA member in any capacity. [read post]
4 Mar 2020, 3:56 am
In an op-ed for The New York Times, Jane Manners and Lev Menand urge the court to “remember our country’s long tradition of independent administration and reject arguments that would water it down. [read post]
15 Sep 2011, 8:44 am
Circuit Court of Appeals invalidating Exchange Act Rule 14a-11. [read post]
14 Jul 2011, 9:09 pm
My doctoral research on trading patterns and market liquidity required extensive vetting of transaction data that was provided by the New York Stock Exchange. [read post]
4 Jun 2020, 9:38 am
Other News U.K. [read post]
12 Sep 2021, 3:58 am
As a result, the Chinese company that allows a New York company to use its ICP license will make sure the New York company does not put anything on the Internet that might offend the CCP. [read post]
7 Oct 2015, 4:46 pm
July 10, 2013) (holding attorney-client privilege and work-product protection were waived where company voluntarily provided to the Securities Exchange Commission the content of interview notes and summaries prepared by counsel); but see SEC v. [read post]
11 Dec 2009, 10:26 am
Remember the days when Byrne was claiming that his company's poor stock price was a direct result of naked short selling of the company stock? [read post]
13 Apr 2023, 1:32 pm
In return, Kang allegedly steered $2 billion in pension fund investments to their brokerages, earning them millions of dollars in commissions, according to a federal grand jury indictment in New York. [read post]
