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25 Apr 2022, 1:39 pm
On April 21, 2022, a plaintiff shareholder filed a securities class action lawsuit in the Eastern District of New York against Bakkt. [read post]
22 Mar 2010, 1:22 am
More Work Is Needed to Reach a Fair 9/11 Settlement, Judge Says New York Law Journal A New York federal judge on Friday scuttled a proposed settlement of lawsuits filed by more than 10,000 Ground Zero workers seeking compensation for health problems triggered by their exposure to ash and dust spewed into the air after the 9/11 terror attacks. [read post]
4 Feb 2018, 2:39 pm
Seventy-five percent of those cases involve misstatements regarding clinical trials and the new drug application process. [read post]
23 May 2011, 6:28 pm
New York City has ten times more cops than the SEC has employees and twice as many cops than Special Agents employed by the FBI. [read post]
24 Mar 2009, 2:10 pm
" AIG is currently facing investigations by the New York Attorney General's office, the Federal Bureau of Investigation, the Securities and Exchange Commission, and the British Serious Fraud Office.And that is only in the last six months. [read post]
12 Oct 2007, 11:21 am
The author of a number of leading books and articles, many including innovative empirical research, in these and related fields, Professor Thompson has testified before committees of Congress, a state legislature, and the New York Stock Exchange. [read post]
21 Sep 2018, 5:57 am
Coffey (CRD #4462225, Rochester, New York) Without admitting or denying the findings, Coffey consented to the sanction and to the entry of findings that he failed to respond to FINRA’s request for documents and information in connection with its investigation of promissory notes he sold to customers.Michael Quiles III (CRD #4351166, Commack, New York) An Offer of Settlement was issued in which Quiles was barred from association with any FINRA member in all… [read post]
19 Jan 2012, 7:23 am
But what really caught our attention is the fact that the two executive apartments are apparently in New York City. [read post]
30 Jan 2012, 3:00 am
In her decision issued earlier this month, New York County Justice Deborah A. [read post]
19 Feb 2007, 3:33 pm
" The term "SRO" is the fancy legal term for stock exchanges like the New York Stock Exchange or Nasdaq that have powers to regulate the trading that occurs there. [read post]
22 Oct 2006, 9:10 pm
The Securities and Exchange Commission is now examining whether directors who sit on more than one company board may have spread the practice of backdating stock-option grants with research showing that 40 per cent of the companies under scrutiny have common directors. [read post]
9 Feb 2016, 10:01 pm
The civil suits claim Chipotle violated the Securities Exchange Act by making false and/or misleading statements. [read post]
24 Mar 2021, 3:47 pm
For instance, last month The New York Times reported on StockX, a trading platform for sneakers, where a pair of Nike Dunks sold for $33,000. [read post]
24 Mar 2021, 3:47 pm
For instance, last month The New York Times reported on StockX, a trading platform for sneakers, where a pair of Nike Dunks sold for $33,000. [read post]
6 Feb 2020, 3:02 am
Attorney’s Office for the Southern District of New York announced parallel charges against him. [read post]
2 Jun 2021, 7:26 am
We have an office in New York, but our main office is in south Florida. [read post]
10 Feb 2009, 7:32 am
New York Stock Exchange, 373 U.S. 341, 357 (1963). [read post]
10 Dec 2009, 2:50 pm
Dubai’s stock market is falling and the many of the companies listed on the exchange have issued shares that are not liquid. [read post]
14 Sep 2020, 7:14 am
Among his more recent employers are Salomon Smith Barney in New York, Cascade Investment Group in Colorado Springs, and Sanders Morris Harris Inc. also based in Colorado Springs. [read post]
14 Dec 2009, 10:36 am
The New York Stock Exchange has exactly the same relationship with the SEC as does the board, he noted, and no one would argue that the President has the power to direct and supervise the NYSE. [read post]
