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6 Mar 2011, 2:52 pm
The New York Times ran an interesting article on MERS this weekend asking whether it may have swallowed your loan. [read post]
19 Apr 2007, 1:17 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKBusiness LawExpedited Discovery in Suit Over NASD Consolidation With New York Stock Exchange Is Not Set Aside Standard Investment Chartered Inc. v. [read post]
18 Feb 2014, 5:51 am
District Court for the Southern District of New York, requires disgorgement of all ill-gotten gains totaling $4,268,057.16 by the firm and eight clients on whose behalf Nexen stock trades were made in the week leading up to the public announcement: Biggain Holdings Limited, Classictime Investments Limited, Feng Hai Yan, Gao Mei, Sparky International Trade Co., Stephen Wang Sang Wong, Zhang Jing Wei, and Zheng Rong. [read post]
14 Mar 2018, 1:38 am
The company will list on the New York Stock Exchange (NYSE) in the next month or so under the symbol SPOT. [read post]
16 Sep 2008, 10:27 pm
The New York Times reports that Treasury Secretary Henry M. [read post]
29 Dec 2011, 5:00 am
In addition to state standards and Sarbanes-Oxley (“SOX”) requirements, the major U.S. stock exchanges each have their own standards for independence. [read post]
Connecticut Brokerage Aide Must Pay $58,825 To Settle Charges He Made Unauthorized Securities Trades
27 Jun 2008, 5:12 pm
District Court for the Southern District of New York has ordered a Connecticut man to pay $58,825 in civil penalties, prejudgment interest, and disgorgement to settle charges he engaged in a scheme to take part in unauthorized securities trades, which caused prices to rise dramatically. [read post]
19 Aug 2010, 6:46 am
The company also recruited several high-profile individuals, including former New York Gov. [read post]
15 Nov 2016, 4:28 am
Under the Securities and Exchange Commission’s Regulation D, an organization may issue a private offering of stock to raise funds without officially registering to “go public. [read post]
13 May 2008, 10:06 pm
Certain shareholders also have agreed to deposit into escrow securities of Clear Channel that these parties have agreed to exchange for Class A common stock of CC Media Holdings. [read post]
2 Aug 2007, 2:58 am
New York Stock Exchange Inc. [read post]
23 Apr 2012, 11:04 am
It should connect to my database and simply request any new stocks I have put in. [read post]
11 May 2016, 9:26 am
Calamari, Regional Director of the SEC’s New York office. [read post]
17 Nov 2021, 8:31 am
Similarly, as another example, the New York Investor Protection Bureau is responsible for enforcing New York securities law. [read post]
19 Jan 2007, 2:31 am
New York Stock Exchange KINGS COUNTYCriminal Practice Marital Exception to Third Degree Sexual Abuse Unconstitutional; Defendants Denied Dismissal People v. [read post]
20 Apr 2010, 2:31 pm
When Agrawal resigned from the Paris-based bank’s New York offices, he allegedly told his employer he wanted to move back to India and begin his own high-frequency trading fund. [read post]
26 Dec 2007, 1:05 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKAlternative Dispute Resolution
Stock Exchange Immune From Claims Stemming From Arbitration of Job Contract Breach Claim
Funcia v. [read post]
22 Dec 2015, 1:34 pm
Calamari, regional director of the SEC’s New York office, “We allege that Toomer abused his role as a financial advisor to help create the false appearance of market demand in these stocks and facilitate the pump-and-dump scheme. [read post]
30 Mar 2018, 2:38 pm
Berger, Director of the New York Regional Office, issued a statement in regards to this investigation, saying “Brokerage firms play an important role in protecting retail investors from abusive conduct by brokers like Delorme; this case sends a clear message that we will not tolerate broker-dealers that fail to exercise appropriate supervision over employees, as alleged here. [read post]
30 Mar 2018, 2:38 pm
Berger, Director of the New York Regional Office, issued a statement in regards to this investigation, saying “Brokerage firms play an important role in protecting retail investors from abusive conduct by brokers like Delorme; this case sends a clear message that we will not tolerate broker-dealers that fail to exercise appropriate supervision over employees, as alleged here. [read post]
