Search for: "New York Stock Exchange"
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16 May 2022, 8:05 am
Call New York Securities Lawyers at 212-509-6544. [read post]
1 Sep 2009, 5:19 am
Our client was an Equity floor trade on the New York Stock Exchange, working in a highly competitive and demanding job that requires total concentration, critical thinking and peak performance at all times. [read post]
31 Aug 2017, 1:19 pm
Oil and Gas Investment Warnings Not every private transaction of an oil and gas security is fraudulent, but investors should be careful of these common red flags: high-pressure sales tactics; promises of high and quick returns; securities not traded on a major exchange like the New York Stock Exchange, and, securities not offered by a well-recognized brokerage firm. [read post]
19 May 2015, 5:09 am
The Securities and Exchange Commission today charged a father and son in New York with conducting a serial insider trading scheme involving tips of key nonpublic information in coded e-mail messages disguised as discussions about golf. [read post]
12 Sep 2018, 2:23 pm
Shulga is the co-founder of Ross & Shulga PLLC, a New York-based boutique law firm specializing in advising individual and corporate clients on aspects of corporate and securities law. [read post]
8 May 2024, 8:43 am
If your company received a Wells Notice or a subpoena, you should retain a SEC Regulatory Defense law firm, like Malecki Law in New York, to communicate directly with the SEC on your behalf. [read post]
8 Mar 2011, 9:36 am
In a significant no-action ruling, the Securities and Exchange Commission has turned down Citigroup’s request to omit a new proposal from New York City’s pension funds that seeks a report on the bank’s mortgage lending practices.The first-year proposal calls for an independent review by Citigroup’s audit committee of the bank’s internal controls related to loan modifications, foreclosures, and securitizations. [read post]
18 Dec 2006, 12:29 pm
District Court for the Southern District of New York. [read post]
8 Nov 2013, 3:00 am
(See New York Times article here.) [read post]
22 May 2007, 9:22 am
A close director vote at CVS/Caremark is fueling investor demands for the Securities and Exchange Commission to approve a New York Stock Exchange rule change to bar brokers from casting uninstructed investor votes in board elections. [read post]
28 Jul 2008, 12:12 pm
The combined company will re-emerge with a New York Stock Exchange listing. [read post]
2 Mar 2017, 9:19 am
In New York, courts must approve class action settlements following a “fairness hearing. [read post]
21 Feb 2023, 7:04 am
Its shares trade on the New York Stock Exchange (NYSE), and its largest shareholders include other major investment firms like The Vanguard Group, BlackRock Fund Advisors, and Berkshire Hathaway, Inc. [read post]
3 Feb 2012, 3:38 pm
In one example cited by The New York Times, although JPMorganChase has settled six securities fraud cases in the past 13 years, the financial firm has also been granted at least 22 waivers. [read post]
29 Jan 2012, 3:38 pm
In one example cited by The New York Times, although JPMorganChase has settled six securities fraud cases in the past 13 years, the financial firm has also been granted at least 22 waivers. [read post]
18 Mar 2019, 6:24 am
On February 14, 2019, the Nasdaq Stock Market LLC filed notice with the Securities and Exchange Commission of a rule change to “amend and clarify certain aspects of the listing process for Direct Listings. [read post]
25 Jul 2017, 5:32 pm
One study found short selling to encompass thirtyone percent of all trading for NASDAQ-listed stocks and twenty-four percent of all New York Stock Exchange-listed stocks. [read post]
4 Sep 2009, 1:52 am
CP Ships’ shares mainly trade on Toronto Stock Exchange, but approximately 20% of its shares trade on the New York Stock Exchange.On April 5, 2007, the district court dismissed the suit for failure to satisfy the pleading requirements under the PSLRA. [read post]
15 Nov 2007, 5:15 am
United States Attorney Southern District of New York’s Public Information Office, Former Chief Financial Officer of SafeNet, Inc. [read post]
18 Jul 2019, 2:17 pm
District Court for the Eastern District of New York, charges Black and O'Rourke with violating the antifraud and registration provisions of the federal securities laws. [read post]
