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30 Oct 2006, 6:22 am
The New York Stock Exchange may be trying to sew up its $11.3 billion merger deal with Paris-based Euronext, but no one is making it easy for the American exchange. [read post]
27 Oct 2006, 7:41 am
The New York Stock Exchange (NYSE) announced this week it would move ahead to restrict voting by brokers in director elections beginning in 2008. [read post]
27 Oct 2006, 5:16 am
Grasso, the former chairman of the New York Stock Exchange, has told a state appeals court he will challenge a judge's ruling that he return as much as $100 million in compensation from the Big Board. [read post]
27 Oct 2006, 5:11 am
A former floor trader at the New York Stock Exchange, David Finnerty, was convicted yesterday of federal charges that his improper trades defrauded investors of $4.5 million. [read post]
26 Oct 2006, 6:39 am
A former floor trader on the New York Stock Exchange who is charged with securities fraud would have had to be “insane” to knowingly make illegal trades in an environment where his every move was monitored, his lawyer said Wednesday. [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]
19 Oct 2006, 12:06 pm
[JURIST] The New York State Supreme Court [official website] Thursday ordered former New York Stock Exchange [corporate website] chairman Richard A. [read post]
3 Oct 2006, 7:34 am
It was just a handful of abuses that caused President Bush to criticize corporate loans in a speech before the New York Stock Exchange, which in turn led to a last minute amendment to Sarbanes-Oxley banning them in all forms. [read post]
14 Sep 2006, 8:23 am
[JURIST] A New York appeals court Thursday granted the request of former New York Stock Exchange [corporate website] chairman Richard Grasso [Wikipedia profile] to delay the trial in a civil lawsuit filed by the state over the $187.5 million compensation package he received in 2003. [read post]
6 Sep 2006, 5:23 am
A former New York Stock Exchange floor trader charged with securities fraud broke Big Board rules and cheated the public by improperly manipulating trades, a federal prosecutor told a jury on Tuesday. [read post]
1 Sep 2006, 3:06 pm
Polo Goes Public(New York Stock Exchange 6/12/97 9:30 AM) The bell clangsupon the papal platformamid a paper flurry A chorus hums in numbersat Lauren looking sunnyas the second coming Handshakes swarm like snakeseveryone in a hurryto bow and kiss his... [read post]
27 Aug 2006, 12:30 pm
The United States Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers and the New York Stock Exchange, are expected to announce a civil settlement with Prudential Financial Inc. on Monday. [read post]
13 Jul 2006, 8:29 am
Robert Gilmer was employed in the securities industry, and his registration with the New York Stock Exchange provided that he would arbitrate any claim between himself and his employer. [read post]
9 Mar 2006, 12:58 pm
" Deters said he has credit card receipts that show that Stephen Pomeroy spent $30,000 one night at a New York strip club. [read post]
17 Aug 2005, 10:45 am
[JURIST] Leading Wednesday's corporations and securities law news, Newsweek is reporting that the New York Stock Exchange may settle with former CEO Richard Grasso [Wikipedia profile] for $25 million. [read post]
15 Aug 2005, 12:06 pm
[JURIST] Leading Monday's corporations and securities law brief, the New York Stock Exchange says it has censured and fined Merrill Lynch for what it called "supervisory and operational lapses. [read post]
27 Jul 2005, 5:13 pm
[JURIST] Leading Wednesday's corporations and securities law news, the New York Stock Exchange (NYSE) [corporate website] has announced that the SEC approved a new rule requiring firms to better inform clients about non-managed fee-based accounts (NMFBA). [read post]
21 Jul 2005, 11:29 pm
[JURIST] Leading Thursday's corporations and securities law news, the New York Stock Exchange [corporate website] (NYSE) has informed the SEC of its intentions to merge with electronic exchange unit Archipelago [corporate website] and form a publicly traded company. [read post]
21 Jun 2005, 1:00 pm
[JURIST] Leading Tuesday's corporations and securities law news, the New York Stock Exchange [corporate website] has announced that it is investigating the possibility that more traders have acted inappropriately. [read post]
9 May 2005, 5:29 am
[JURIST] William Higgins, holder of a seat on the New York Stock Exchange (NYSE) [corporate website], filed suit in New York state court Monday in a bid to block the NYSE merging with electronic stock market Archipelago Holdings. [read post]
