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19 Mar 2008, 8:32 am
I wrote back in the 1970s that the perspective of Wall Street ranged all the way from the opening bell of the Stock Exchange to the closing bell the same day. [read post]
30 Dec 2016, 8:00 am
Two stockbrokers, for example, both of whom engage in similar acts of securities fraud, are not bound by an interpersonal relationship just because their conduct targeted the same stock on the New York Stock Exchange. [read post]
17 May 2007, 9:50 am
Board of Trade of the City of New York, No. 06-1265, raising the question whether commodities futures commission merchants have standing to sue a commodities board under a statute that allows such suits by "a person who engaged in any transaction" on a regulated futures market. [read post]
11 Jul 2017, 10:37 am
The United States District Court for the Southern District of New York applied the First Circuit’s “extreme departure” test, but held that there was no such departure in this case, and dismissed plaintiffs’ claims. [read post]
14 Feb 2023, 9:52 am
Tesla’s stock price soared following the initial tweets, but then declined by almost 9%, erasing over $5 billion in market capitalization, following a New York Times article reporting funding had not been secured. [read post]
27 Apr 2018, 6:01 am
Shareholder Activists and Tardy Director Nominations Posted by Steve Wolosky, Andrew Freedman, and Ron Berenblat, Olshan Frome Wolosky LLP, on Wednesday, April 25, 2018 Tags: Boards of Directors, Delaware law, Director nominations, Disclosure, Materiality, New York, Proxy season, Securities litigation, Shareholder activism, Shareholder nominations, Shareholder voting, State law A Look Under the Hood of… [read post]
26 Apr 2007, 5:20 am
As the Breeden Report noted: "Both [Stiles] Kellett and [Max] Bobbitt appeared to satisfy the “independence” standards for directors of the time, and might well satisfy current definitions used by the New York Stock Exchange (“NYSE”) and NASDAQ. [read post]
29 Mar 2007, 5:13 am
Thirteen out of the seventeen director nominees are independent as defined by the New York Stock Exchange Listing Standards, the Sarbanes-Oxley Act and our Director Independence Categorical Standards”. [read post]
11 Jul 2017, 10:37 am
The United States District Court for the Southern District of New York applied the First Circuit’s “extreme departure” test, but held that there was no such departure in this case, and dismissed plaintiffs’ claims. [read post]
16 Jun 2016, 2:48 pm
In short order, Morgan Stanley traced the breach to Marsh, a financial adviser working out of its New York offices. [read post]
9 Aug 2008, 1:50 am
Here is IP Think Tank’s weekly selection of top intellectual property news breaking in the blogosphere and internet. [read post]
29 Jan 2018, 11:28 pm
Securities and Exchange Commission, and ICO lawyers should be watching their backs. [read post]
2 Mar 2014, 5:30 am
Reflections following the Villalón Opinion on AciAdam and Others. http://t.co/pSmCW8mh3A -> Germany: The Pixelio Stock photo case and the District Court of Cologne http://t.co/WY4NCFp9Jo -> Computer and Internet Law Updates for 2014-02-27: Florida law governing employment convenants ‘truly obnoxious… http://t.co/kyN48h45GX -> Computer and Internet Law Updates for 2014-02-28: The Future of Royalty Free http://t.co/sfryWP04gr -> Hookah …… [read post]
7 Jan 2022, 2:20 pm
– In September, the SEC and the State of New York reached a joint $539 million settlement with GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. over allegations that they engaged in unregistered offerings of stock and a cryptocurrency called “G-Coins” or “G-Dollars. [read post]
7 Jan 2022, 2:20 pm
– In September, the SEC and the State of New York reached a joint $539 million settlement with GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. over allegations that they engaged in unregistered offerings of stock and a cryptocurrency called “G-Coins” or “G-Dollars. [read post]
3 Aug 2023, 11:22 am
Attorney’s Office for the Eastern District of New York. [read post]
26 Apr 2022, 9:01 pm
The nightly news is more likely to focus on stocks. [read post]
2 Jul 2007, 11:32 am
JUNE 15, 2007: NYSE FINED MORGAN STANLEY $500 THOUSAND FOR FAILURE TO SUPERVISE On June 15, 2007, the New York Stock Exchange fined Morgan Stanley $500,000 for failing to supervise a group of registered representative in its midtown Manhattan office. [read post]
23 Feb 2007, 8:46 am
Securities and Exchange Commission's new rules on executive pay disclosure. [read post]
12 Dec 2023, 9:05 pm
California and New York – The same principle will likely apply in California and New York. [read post]
