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24 Sep 2018, 2:24 am
BREAKING NEWS: United States Securities and Exchange Commission, Plaintiff, v. [read post]
23 Sep 2018, 10:36 am
Indeed, as discussed here, Southern District of New York Judge Jed Rakoff ruled in the U.S. action in July 2015 that the U.S. claims of investors who purchased Petrobras securities on Brazilian exchanges were both precluded by Morrison and barred by the mandatory arbitration provisions in Petrobras’s bylaws. [read post]
21 Sep 2018, 8:51 am
SEC Obtains Final Judgment Against Investor Relations Writer Charged with Fraudulent Stock Promotion Scheme(SEC Litigation Release No. 24280)https://www.sec.gov/litigation/litreleases/2018/lr24280.htmThe United States District Court for the Southern District of New York entered a final judgment against Thomas Meyer ordering him to pay disgorgement plus interest of $41,185.29 and a penalty of $20,000. [read post]
21 Sep 2018, 8:33 am
WilmingtonPlaintiffs assert that CPLR 302(a)(1) jurisdiction may be exercised over Wilmington because Wilmington transacted business in New York by signing a retainer agreement with a New York law firm on behalf of the Trusts, and the legal services were performed in New York. [read post]
21 Sep 2018, 5:57 am
Coffey (CRD #4462225, Rochester, New York) Without admitting or denying the findings, Coffey consented to the sanction and to the entry of findings that he failed to respond to FINRA’s request for documents and information in connection with its investigation of promissory notes he sold to customers.Michael Quiles III (CRD #4351166, Commack, New York) An Offer of Settlement was issued in which Quiles was barred from association with any FINRA member in all… [read post]
20 Sep 2018, 10:30 am
Based on the tone and detail of the report, it appears that New York state is about to open a new enforcement front against businesses in the crypto exchange space. [read post]
20 Sep 2018, 7:21 am
“New Yorkers deserve basic transparency and accountability when they invest—whether on the New York Stock Exchange or on a cryptocurrency platform. [read post]
19 Sep 2018, 6:00 am
Explore the Data With Our New Stock Buybacks Interactive Launch Now Cutting the Corporate Rate Benefits New and Old Capital By lowering the corporate tax rate to 21 percent, the TCJA will cause two things to happen: higher profits on old investments, and an increased incentive for businesses to make new investments. [read post]
19 Sep 2018, 12:00 am
Henning, The New York Times). [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]
7 Sep 2018, 9:37 am
New York City is home to the world’s largest stock exchange, the New York Stock Exchange, and is host to financial service providers. [read post]
6 Sep 2018, 7:53 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
29 Aug 2018, 9:18 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
27 Aug 2018, 12:37 pm
Continue reading The post How High Wealth Investors Can Benefit from Unit Investment Trusts appeared first on New York Estate Planning Lawyer Blog. [read post]
24 Aug 2018, 8:55 am
In May of 2013, Todd Newman and Anthony Chiasson were convicted in Federal District Court for the Southern District of New York (with jurisdiction over Wall Street) of conspiracy to commit insider trading and insider trading. [read post]
22 Aug 2018, 6:02 am
Following competitive pressure from the American Stock Exchange and NASDAQ, the New York Stock Exchange changed its listing rules to permit such structures in 1984. [read post]
21 Aug 2018, 3:39 pm
Finance, Google Finance, and the Nasdaq and New York Stock Exchange websites. [read post]
21 Aug 2018, 1:00 pm
Caesars Entertainment acquired this company and was consequently removed from the NASDAQ stock exchange[1]. [read post]
21 Aug 2018, 9:17 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
20 Aug 2018, 3:31 pm
Find the luxury e-commerce giant under the ticker symbol 'FTCH.' [read post]
