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11 Nov 2020, 1:28 am
New York state investigated whether or not Gary David Ginsberg knowingly submitted applications purportedly signed in New Jersey that Ginsberg knew were signed in New York. [read post]
11 Nov 2020, 1:28 am
New York state investigated whether or not Gary David Ginsberg knowingly submitted applications purportedly signed in New Jersey that Ginsberg knew were signed in New York. [read post]
10 Nov 2020, 7:19 am
Jackson is an Independent and if he was selected as chairman he would continue a recent trend of Independents heading the SEC (Clayton from the Trump Administration, and Mary Jo White and Mary Schapiro from the Obama Administration).At least one media outlet has speculated that current SEC Chairman Jay Clayton, who recently sought the Trump Administration’s blessing to change to a different job nearer to his New York City home, could leave the SEC significantly before the… [read post]
4 Nov 2020, 9:21 am
Ant’s IPO was also set to beat its sister company, Alibaba, which launched on the New York Stock Exchange in 2014 with an IPO of $25 billion. [read post]
3 Nov 2020, 10:29 am
These REITs are listed on the New York Stock Exchange and trade on a fairly liquid basis. [read post]
2 Nov 2020, 10:51 am
Earlier last month the REIT, which trades under the ticker PEI, was reportedly given six months to get its trading price above $1 or be delisted from the New York Stock Exchange, after struggling to recover from the effects of Covid-19. [read post]
29 Oct 2020, 3:07 pm
A Manhattan federal judge on Tuesday ordered that a former New York City accountant who admitted to scoping out the New York Stock Exchange for al Qaeda be released early from his 18-year prison sentence. [read post]
26 Oct 2020, 2:13 pm
The complaint 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]
26 Oct 2020, 6:19 am
San Jose PwC audited more public companies than their headquarters in New York because Silicon Valley is where many new public companies start. [read post]
22 Oct 2020, 3:00 am
Well, it obviously didn’t, and if one SEC enforcement proceeding wasn’t enough to drive that message home, this Brian Cave memo discusses a second one: On September 30, 2020, Judge Alvin Hellerstein, of the Southern District of New York granted summary judgment to the Securities and Exchange Commission in its enforcement action against Kik Interactive Inc., in which the SEC contended that Kik’s 2017 $100 million Initial Coin Offering was an… [read post]
20 Oct 2020, 7:50 am
Chinese firms are already increasingly opting to list in Hong Kong or Shanghai instead of New York, and action like this will surely accelerate this trend. [read post]
19 Oct 2020, 2:56 pm
The litigation finance giant used the opportunity to put forth its latest research report showing a steadily growing appetite for funding across the legal industry. [read post]
16 Oct 2020, 12:55 pm
Mitchell Stein, a publicly traded company’s in-house counsel, was convicted of fraud for a scheme to inflate the company’s stock prices. [read post]
12 Oct 2020, 3:01 pm
(The next day, a separate but similar complaint was filed against Nikola in the Eastern District of New York, here.) [read post]
9 Oct 2020, 7:54 am
Under the SROs’ proposal, the plan would replace the three existing plans: (1) Consolidated Tape Association Plan; (2) Consolidated Quotation Plan; and (3) Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis.The equity exchanges filing the plan along with FINRA are Cboe BYX Exchange, Cboe BZX… [read post]
9 Oct 2020, 3:00 am
Several Lawmakers Disclose Opaque Financial Records Roll Call – Chris Marquette | Published: 10/1/2020 Federal law requires members of Congress to publicly file annual financial disclosure statements and periodically report certain stock transactions exceeding $1,000. [read post]
25 Sep 2020, 3:00 am
New York Times – David Sanger and Zolan Kanno-Youngs | Published: 9/22/2020 Four years ago, when Russian intelligence agencies engaged in a systematic attempt to influence the American presidential election, the disinformation they fed voters required some real imagination at the troll farms producing the ads. [read post]
24 Sep 2020, 6:00 am
Background InterOil Corporation (InterOil) was a Yukon corporation whose shares were widely held and publicly traded on the New York Stock Exchange. [read post]
23 Sep 2020, 2:56 pm
” The complaint alleges that the company’s share price declined on this news. [read post]
20 Sep 2020, 5:04 am
In 2018, Spotify’s direct listing of its shares for trading on the New York Stock Exchange without a traditional IPO turned decades-old market practice on its head. [read post]
