Search for: "New York Stock Exchange"
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4 May 2007, 9:28 am
We have successfully represented many clients throughout the U.S. and internationally, and our offices are conveniently located in Phoenix, Chicago, New York, San Francisco, Dallas, New Orleans, Houston, and Mexico City. [read post]
27 Jul 2008, 2:55 pm
July 18, 2008) (Jacobs, Pooler, CJJ, Restani, J)The New York Stock Exchange functions, essentially, as an auction market. [read post]
9 Mar 2009, 6:35 am
The New York Stock Exchange (NYSE) has reissued a proposal to ban discretionary broker voting in uncontested board elections, prompting speculation among governance observers that the Securities and Exchange Commission may approve the rule change soon. [read post]
4 Aug 2010, 9:25 am
The show is so popular and the second season so eagerly anticipated that the cast was invited to ring the opening bell of the New York Stock Exchange. [read post]
30 Jun 2010, 4:55 pm
Here's a short version of what happened, based on the nanex data: (1) Some market participants sent a large number of quote requests to the New York Stock Exchange (NYSE) computers. (2) The NYSE normally puts outgoing price quotes into a queue before they are sent out. [read post]
28 Apr 2016, 6:46 am
On May 3, 2016, the Securities and Exchange Commission (“SEC”) filed what can only be described as a fascinating civil Complaint in the United States District Court for the Eastern District of New York (“EDNY”). [read post]
10 Jan 2024, 3:30 am
appeared first on New York Securities Fraud Lawyers Blog. [read post]
15 Dec 2014, 9:01 pm
He said that the company had reported on its research Nov. 20 at an investor event in New York. [read post]
24 Sep 2010, 5:54 pm
On Thursday, September 23rd, the New York Stock Exchange-sponsored commission on corporate governance issued a report that contained 10 core corporate governance principles. [read post]
1 Aug 2007, 8:09 am
The New York Stock Exchange has disciplined Citigroup Global Markets for books and records violations and supervisory deficiencies. [read post]
26 Mar 2009, 9:39 am
Attorney Benton Campbell of the Eastern District of New York said in a statement. [read post]
24 Jul 2007, 4:46 pm
In one of its final regulatory acts before being folded into the NASD, the New York Stock Exchange's regulatory unit has censured and fined Smith Barney $50 million over illegal trades, failures to supervise and record-keeping violations. [read post]
22 Jun 2007, 3:48 pm
The New York Stock Exchange's regulator group says that Morgan Stanley must pay $500,000 for not overseeing a group of brokers that had recommended unsuitable transactions for accounts belonging to the guardians of injured children and to retirees. [read post]
2 Aug 2017, 7:34 am
ARC New York City REIT Stockholder Meeting Adjourns for a Third Time Concerned about investment losses in ARC New York City REIT? [read post]
4 Sep 2016, 6:56 am
The specific allegations concerning the corrupt brokers focuses on that in October 2014, a ForceField executive hired Mitchell to distribute kickbacks to corrupt registered broker dealers, including Brown, Cocuzzo, Khan, Miyana, and Patel, in exchange for their purchasing of ForceField stock in their clients’ brokerage accounts. [read post]
16 Feb 2011, 9:00 pm
The announcement that the New York Stock Exchange would be purchased by Deutsche Börse AG has generated the predictable handwringing about America's decline as the financial epicenter of the world. [read post]
30 Nov 2013, 5:54 pm
Hamilton lived when the new federal government worked in New York, one block from the stock exchange and from Federal Hall where G. [read post]
14 Jun 2013, 6:14 am
On May 13, 2013, the Securities and Exchange Commission published proposed changes to the New York Stock Exchange Listed Company Manual and listing application materials. [read post]
9 Nov 2013, 3:10 pm
A great article in The New Yorker by Nicholas Lemann. [read post]
28 Jul 2010, 8:00 am
The Act amends Section 6(b) of the 1934 Act to require national securities exchanges to prohibit proxy voting by a broker in connection with the election of directors (other than a vote with respect to the uncontested election of a member of the board of any registered investment company), executive compensation or any other significant matter, as determined by the SEC, unless the beneficial owner of the security has specifically instructed the broker to vote in such way.(24) Broker… [read post]
