Search for: "NEW YORK STOCK EXCHANGE INC "NYSE""
Results 101 - 120
of 196
Sorted by Relevance
|
Sort by Date
4 Dec 2010, 5:00 am
Plaintiffs characterized the class as including investors who purchased Alstom securities (1) in the form of American depository receipts on the New York Stock Exchange (“NYSE”); (2) directly from Alstom; and (3) on the Premier Marche of Euronext Paris, a foreign stock exchange. [read post]
10 Mar 2022, 1:02 am
According to filings with the SEC this week, FS Global Credit Opportunities Fund has announced plans to list its common stock on the New York Stock Exchange before the end of the third quarter of 2022. [read post]
1 Dec 2015, 3:08 am
The exchanges would, in comparison to their larger national exchange counterparts (Nasdaq Stock Exchange, New York Stock Exchange, etc.), allow smaller or earlier-stage companies to list their shares and provide for some liquidity. [read post]
10 Jun 2012, 10:17 pm
According to stock fraud lawyers, a recent announcement by Healthcare Trust of America Inc. stated that the company will be advised by Wells Fargo Securities LLC in connection with the listing, on the New York Stock Exchange, of its Class A common stock. [read post]
12 May 2014, 7:18 am
The exchanges, such as the New York Stock Exchange (“NYSE”), pay these liquidity rebates, which typically amount to a fraction of a penny per share, because it increases the overall liquidity in that marketplace. [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]
14 Jul 2012, 5:19 pm
(NASD) took over the regulatory functions of The New York Stock Exchange Inc. [read post]
20 Sep 2007, 2:50 pm
Also in July, the New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
18 Jul 2012, 2:09 am
Chinese education company New Oriental, which is listed in the U.S. on the New York Stock Exchange (NYSE: EDU), included this little bomblet in a July 17 earnings press release: On July 13, 2012, the Company was informed that the U.S. [read post]
20 Sep 2023, 9:04 pm
The dual listing means the company will be subject to regulations set forth by the SEC, the New York Stock Exchange (NYSE), and the Brazilian Securities Commission (CVM). [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]
15 Feb 2017, 10:00 am
The company was even delisted from the NYSE (New York Stock Exchange). [read post]
16 Jul 2013, 9:23 pm
Shares of Edwards were up 3.7 percent at $68.25 in early afternoon trading on the New York Stock Exchange, while shares of Medtronic were down 1.4 percent at $53.01. [read post]
30 Sep 2013, 1:29 pm
The New York Stock Exchange suspended trading of Lone Pine’s common stock on September 16, 2013, and the Toronto Stock Exchange suspended trading on September 17, 2013. [read post]
2 Oct 2017, 12:45 pm
Enlarge / A monitor displays Equifax Inc. signage on the floor of the New York Stock Exchange (NYSE) in New York on Friday, September 15, 2017. [read post]
8 Feb 2010, 7:16 pm
The following blog update is being provided in response to recent inquiries from blog readers seeking information regarding the ongoing investigation by the Alcala Law Firm on behalf of IMH Secured Loan Fund, LLC investors: On January 15, 2010, Investors Holdings Mortgages, Inc. filed an amended Form S-4 with the Securities Exchange Commission (SEC) seeking member approval to restructure the company into a newly formed Delaware corporation named IMH Financial Corporation with the… [read post]
24 Jun 2008, 12:36 am
In 2002, the New York State Attorney General's Office accused Merrill Lynch, Pierce, Fenner & Smith Inc., Merrill Lynch & Co. [read post]
21 Aug 2019, 9:46 am
Pivotal’s securities are quoted on the New York Stock Exchange under the ticker symbols PVT, PVT WS and PVT.U. [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]
9 May 2008, 8:02 am
District Court for the Southern District of New York. [read post]
