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21 Apr 2005, 11:24 am
[JURIST] Leading Thursday's corporations and securities brief, the New York Stock Exchange (NYSE) [corporate website] announced it will merge with rival Archipelago Holdings Inc. [read post]
12 Apr 2005, 7:19 am
The indictment accuses the three men of conducting surveillance of the New York Stock Exchange and Citicorp Building in New York, the Prudential Building [read post]
7 Feb 2005, 5:25 am
[JURIST] Leading Monday's corporations and securities law news, the Justice Department [official website] is investigating as many as 20 individual specialists on the floor of the New York Stock Exchange (NYSE) [official website] over allegations of using illegal trading practices to cheat customers. [read post]
10 Dec 2004, 10:06 am
[JURIST] The lawsuit filed by New York Attorney General Eliot Spitzer against former New York Stock Exchange chairman Richard Grasso over Grasso's $187.5 million compensation was sent back to state court late Thursday by US District Judge Gerard Lynch. [read post]
8 Nov 2004, 11:55 pm
The proposed rules were formulated following allegations of widespread violations by trading firms at the New York Stock [read post]
20 Jul 2004, 4:57 am
Richard Grasso, the former chair of the New York Stock Exchange, has filed suit aginst the NYSE for breach of contract and defamation. [read post]
25 May 2004, 12:57 pm
In response to the filing of a lawsuit yesterday by NY Attorney General Eliot Spitzer over his $139.5 million pay package (see this previous report in JURIST's Paper Chase), Richard Grasso, former chairman of the New York Stock Exchange, has said that he will countersue the exchange and current chairman John Reed for the rest of his pay and seek damages for leaks that hurt his reputation. [read post]
24 May 2004, 2:19 pm
New York Attorney General Eliot Spitzer has filed a civil lawsuit against former New York Stock Exchange chief executive Richard Grasso and former chairman of the NYSE's compensation committee Kenneth G. [read post]
21 May 2004, 8:35 am
Friday's New York Times highlights a pending suit against former NY Stock Exchange chairman Richard Grasso for the return of part of his pay package, the release of Oregon lawyer Brandon Mayfield who was arrested May 6 in connection with the Madrid bombings, Massachussetts governor Mitt Romney's push to invalidate recent same-sex marriages, the Illinois Supreme Court's ruling that the state must [read post]
30 Mar 2004, 2:40 pm
In Tuesday's corporations and securities law news, the SEC has finalized $241 million settlement with five New York Stock Exchange specialist firms accused of violating securities laws by depriving clients of fair trades and possibly better prices when they executed their own orders ahead of the customers [read post]
12 Mar 2004, 6:38 am
Friday's Wall Street Journal reports that the SEC is issuing subpoenas to former New York Stock Exchange chairman Dick Grasso and a number of associates as it investigates accusations that Grasso was involved in "influence trading" during his NYSE tenure. [read post]
18 Feb 2004, 5:18 am
AP reports today that five top specialist firms on the New York Stock Exchange have tentatively agreed to a $240 million settlement with the Securities and Exchange Commission over allegations of "front-running," Wall Street [read post]
23 Jan 2004, 4:28 am
LLC, the largest share dealer on the New York Stock Exchange, and Dutch market maker Van der Moolen Holding have received a Wells Notice which indicates that the SEC was considering civil charges for alleged trading violations. [read post]
19 Nov 2003, 2:23 pm
In Wednesday's corporations law news, the 1366 members of the New York Stock Exchange have voted to approve a reform package that would reduce the size of the main NYSE Board, and create a separate independent board of persons not employed by brokerage firms, members or companies that trade on the exchange to oversee operations. [read post]
