Search for: "New York Stock Exchange"
Results 1041 - 1060
of 3,452
Sort by Relevance
|
Sort by Date
20 Jul 2018, 8:55 am
Enlarge / T-Mobile CEO John Legere (left) and then-Sprint CEO Marcelo Claure during an interview on the floor of the New York Stock Exchange on April 30, 2018. [read post]
16 Jul 2018, 7:37 am
In addition, Lundell has been subject to two customer disputes, a regulatory action sanctioned by the New York Stock Exchange (NYSE), and two discharges from member firms. [read post]
10 Jul 2018, 3:57 am
Enforcement SEC Takes Civil Actions Against Fraudulent ICO On April 2, 2018, the SEC filed a complaint in the United States District Court for the Southern District of New York against Centra Tech., Inc. [read post]
9 Jul 2018, 3:22 am
A valuation proceeding is a special kind of lawsuit in which the owners of a business litigate the “value” (the relevant standard under New York’s Partnership Law) or “fair value” (the standard under the New York Business Corporation Law and Limited Liability Company Law) of a partnership, stock, or membership interest in a business for the purpose of a potential buyout or liquidation of that owner’s interest.… [read post]
5 Jul 2018, 6:36 am
Spotify Technology S.A. went public on April 3, 2018 through a direct listing of its shares on the New York Stock Exchange. [read post]
30 Jun 2018, 12:50 pm
The majority of these disputes concern unsuitable recommendations in bonds, stocks, and exchange-traded funds (ETFs). [read post]
25 Jun 2018, 6:49 am
Wall Street watchdog accused of age discrimination (New York Post by Kevin Dugan)https://nyp.st/2tsw9pyThe New York Post article asserts in part that:The Financial Industry Regulatory Authority ousted roughly 20 senior employees after it lost a lucrative contract with the New York Stock Exchange, according to a lawsuit filed by one of the employees.Brian McIntyre, a former analyst at FINRA, claimed in court papers that each of… [read post]
22 Jun 2018, 9:30 pm
From the newsletter of the SEC Historical Society: “Maybe you've heard of the Buttonwood Agreement, an effort to organize securities trading in 1792 and preceding the formation of the New York Stock and Exchange Board...but have you ever seen it? [read post]
22 Jun 2018, 2:31 pm
Although a Delaware corporation, Merrill Lynch’s principal offices are in Bryant Park, New York. [read post]
22 Jun 2018, 2:31 pm
Although a Delaware corporation, Merrill Lynch’s principal offices are in Bryant Park, New York. [read post]
22 Jun 2018, 3:31 am
United States, in which the court ruled 5-4 that stock options are not taxable compensation under the Railroad Retirement Tax Act. [read post]
21 Jun 2018, 6:55 am
The firm had no surveillance procedures to determine if any of its representatives had potentially inappropriate rates of variable annuity exchanges. [read post]
20 Jun 2018, 5:51 am
Maughan has also been subject to two regulatory actions in which New York Stock Exchange (NYSE) sanctioned Maughan for various violations of the securities laws, including unauthorized trading and unsuitable investments. [read post]
17 Jun 2018, 7:58 pm
From The Big Short, screenplay by Charles Randolph and Adam McKay, based on the book by Michael Lewis A quick aside–Billboard recently quoted the consultant Mark Mulligan as saying the following about Spotify (which is listed as a client of his MIDiA company, among others): MIDiA Research managing director Mark Mulligan says Spotify’s general tune has changed since the company was listed on the New York Stock Exchange in April and must now aim to… [read post]
17 Jun 2018, 10:19 am
Note that neither the prosecutions brought by Eliot Spitzer in New York state a few years ago nor the prosecution of legendary disc jockey Alan Fried in the 1950s were brought under the payola statute. [read post]
17 Jun 2018, 12:00 am
Mar. 20, 2018), the United States District Court for the Southern District of New York denied in part and granted in part a motion to dismiss a putative class-action suit against Kitov Pharmaceutical Holdings, Ltd. [read post]
16 Jun 2018, 1:49 pm
However, studies have found that there are fraud hotspots such as certain parts of California, New York or Florida, where the rates of disclosure can reach 18% or higher. [read post]
15 Jun 2018, 6:12 am
Nuccio and Richard Loewy, Ropes & Gray LLP, on Wednesday, June 13, 2018 Tags: Banks, Capital requirements, Dodd-Frank Act, Financial institutions, Financial reform, Financial regulation, Liquidity, Systemic risk, Volcker Rule Stock Buyouts and Corporate Cashouts Posted by Robert J. [read post]
15 Jun 2018, 1:05 am
The company's stock price has collapsed since its $32.50 per share debut on the New York Stock Exchange roughly three years ago. [read post]
14 Jun 2018, 10:00 pm
Image credit: taxrebate.org.uk The post Stock Purchases Treated as Asset Acquisitions appeared first on New York City Tax Attorney. [read post]
