Search for: "New York Stock Exchange"
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1 Dec 2021, 9:33 am
Aegis Capital Corp. is a FINRA (Financial Industry Regulatory Authority) registered broker-dealer and investment adviser firm with headquarters in New York City. [read post]
29 Nov 2021, 6:04 am
The Securities and Exchange Commission and the New York Stock Exchange first advocated for separate audit committees following the McKesson & Robbins scandal of 1938 (Birkett, 1986). [read post]
19 Nov 2021, 1:10 pm
Ferrellgas Partners, LP is a “master limited partnership,” which has allowed Ferrellgas to raise capital by selling partnership “units” that are similar to stock and are traded on the New York Stock Exchange. [read post]
17 Nov 2021, 8:31 am
Similarly, as another example, the New York Investor Protection Bureau is responsible for enforcing New York securities law. [read post]
11 Nov 2021, 9:03 pm
IN THE NEWS The U.S. [read post]
5 Nov 2021, 4:00 am
Richard Burr dumped more than $1.6 million in stocks in February 2020, a week before the coronavirus market crash, he called his brother-in-law, according to a new Securities and Exchange Commission (SEC) filing. [read post]
2 Nov 2021, 1:57 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
29 Oct 2021, 4:00 am
The new rules replace existing regulations that, while somewhat restrictive, still allowed officials such as regional presidents to buy and sell stocks. [read post]
28 Oct 2021, 7:00 am
On September 11, 2001, Chris was walking to his job on the floor of the New York Stock Exchange when he heard a plane flying too close to the Manhattan skyline. [read post]
18 Oct 2021, 1:23 am
CION listed its shares on the New York Stock Exchange on October 5, 2021 under the ticker CION after a 2-to-1 reverse stock split on Sept. 21. [read post]
13 Oct 2021, 6:08 am
Choi is Bernard Petrie Professor of Law and Business at New York University; and Adam C. [read post]
11 Oct 2021, 7:32 am
The firm is dedicated to helping investors in arbitration claims against their brokerage firms or financial professionals and has the knowledge and skills necessary to protect investors’ rights in securities cases filed with the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), the American Arbitration Association (AAA), and the National Futures Association (NFA). [read post]
11 Oct 2021, 5:01 am
Only its public listing on the New York Stock Exchange and a Delaware organized entity, whose activities appear limited to owning entities that conduct business outside the United States, appear to be located inside the United States. [read post]
11 Oct 2021, 4:54 am
This article will focus on two competing strands of New York case law, each rooted in a single New York Court of Appeals decision, one strand holding that tax returns are not determinative of ownership status in a closely-held business, the other holding that they are dispositive. [read post]
8 Oct 2021, 4:00 am
Over Election Yahoo News – Katie Benner (New York Times) | Published: 10/7/2021 An interim report by the U.S. [read post]
3 Oct 2021, 11:43 am
” The plaintiff alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
1 Oct 2021, 4:00 am
MSN – Maggie Haberman (New York Times) | Published: 9/28/2021 Former President Trump lost an effort to enforce a nondisclosure agreement against Omarosa Manigault Newman, a former White House aide and a star on “The Apprentice” who wrote a tell-all book about serving in his administration. [read post]
29 Sep 2021, 12:39 pm
The opposite has occurred however, although to be clear, much of the increase in US shareholder actions against non-US companies is now targeting ADR’s – foreign companies trading on the New York Stock Exchange or Nasdaq. [read post]
29 Sep 2021, 6:04 am
Without a whistleblower, the SEC would not have known about a foreign currency trading fraud carried out by Bank of New York Mellon (BNYM). [read post]
28 Sep 2021, 10:06 am
The Lawsuit On September 24, 2021, a plaintiff shareholder filed a securities class action lawsuit in the Southern District of New York against AppHarvest; its CEO; and its CFO. [read post]
