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4 Oct 2016, 6:55 pm
As such, proof of loss causation separates out losses that are attributable to other intervening market forces, such as fluctuations in the economy as a whole or in a particular industry. [read post]
18 Sep 2008, 9:00 pm
All that cash going to people who sold the stocks, huge losses going to those who held the stock. [read post]
3 Apr 2024, 9:05 pm
The methodologies that courts commonly employ to gauge stock market efficiency, however, do not map neatly on options markets. [read post]
8 Mar 2010, 7:20 am
The criticism comes after target date funds, which entail a combination of stocks, bonds and other investments and are designed for people nearing retirement, suffered massive losses following the market collapse of 2008. [read post]
16 May 2022, 6:27 pm
The market power once commonly attributed to leading food-delivery platforms such as Grubhub, UberEats, and DoorDash is implausible after persistent losses in most cases, and the continuous entry of new services into a rich variety of local and product-market niches. [read post]
26 Jun 2014, 2:47 pm
Levinson, to the extent that it recognizes a presumption of classwide reliance derived from the “fraud-on-the market theory,” which posits that a company’s material misrepresentation regarding a security traded in the open market that affects the price of the security is presumed to have been relied on by a plaintiff who purchased the security and suffered a loss; and second whether, in a case where the plaintiff invokes the presumption of reliance to… [read post]
11 Jul 2012, 7:57 am
This article was originally posted on Stock Market LossIt has always been our position that a stockbroker owes his or her customer both a suitability obligation under FINRA rules and (at least in our home state of Ohio) the broad duties of a fiduciary under state law. [read post]
24 Sep 2012, 3:13 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Merrill Lynch for deficiencies in required disclosure reports and for often failing to file such reports. [read post]
16 Nov 2016, 8:01 am
The post FINRA Seeks SEC Approval of Rules to Deter Financial Exploitation of Seniors appeared first on Stock Market Loss. [read post]
16 Nov 2016, 8:01 am
The post FINRA Seeks SEC Approval of Rules to Deter Financial Exploitation of Seniors appeared first on Stock Market Loss. [read post]
2 Nov 2016, 4:49 am
This article was originally posted on Stock Market Loss The Financial Industry Regulatory Authority (FINRA) announced on October 20, 2016 that it is seeking SEC approval of proposed rules to help prevent the financial exploitation of seniors and other vulnerable adults. [read post]
16 Nov 2016, 8:01 am
The post FINRA Seeks SEC Approval of Rules to Deter Financial Exploitation of Seniors appeared first on Stock Market Loss. [read post]
6 Aug 2009, 7:37 am
Further, CEOs made large losses on their options. [read post]
22 Jun 2012, 12:36 pm
Have you suffered losses in a structured product created by Morgan Stanley? [read post]
26 Apr 2023, 7:54 am
Crenshaw called on broker-dealers and clearing agencies to help retail investors exercise options in the stocks of Silicon Valley Bank and Signature Bank. [read post]
27 Dec 2009, 2:59 pm
"Stock Market. [read post]
13 Dec 2009, 7:22 am
Following the collapse of the subprime mortgage market towards the end of 2007, a number of mutual funds have dropped substantially, leading to a number of stock broker arbitration claims over funds that were sold as relatively safe investment alternatives to cash or money market funds. [read post]
25 Sep 2008, 3:02 am
Publicly traded institutions have been the first to report their exposure, because of stock disclosure rules, but it's likely that larger private regional banks also will have to report losses on the values of those shares [read post]
6 Mar 2020, 9:36 am
Since then, the epidemic has landed on our shores, dragged down the stock market, and become a political football. [read post]
27 Jan 2012, 7:21 am
The SEC also claims that, while Stern was selling these securities, he also purchased small amounts of the stock at prices above the market to raise the market price and to create the false impression of legitimate trading activity. [read post]
