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8 Sep 2017, 6:00 am
Born in the Bronx, New York, Mr. [read post]
6 Sep 2017, 9:41 am
Calamari, Director of the SEC’s New York Regional Office. [read post]
1 Sep 2017, 6:49 am
" Dillard also represented that the trust wanted the ability to trade stocks, options, and commodity futures on margin. [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]
31 Aug 2017, 12:16 pm
The Securities and Exchange Commission and New York University will host a forum in September to examine the fast growing market for exchange-traded products and its implications for investors.The event, hosted by SEC’s Division of Economic and Risk Analysis and NYU’s Salomon Center for the Study of Financial Institutions, will bring together regulators, industry members, and academics for a half-day dialogue on September 8. [read post]
25 Aug 2017, 8:25 am
“The whole notion of the ‘Hippie Invasion of the New York Stock Exchange’ was too much for people in the media to pass up. [read post]
24 Aug 2017, 9:30 pm
Securities and Exchange Commission to discuss Spotify’s proposal to forego an initial public offering (IPO) and instead “list directly on the New York Stock Exchange,” which would be the first time a company has done so on the New York Stock Exchange. [read post]
20 Aug 2017, 10:06 am
The Blue Apron IPO and Lawsuit The shares of Blue Apron Holdings, a meal-kit delivery company, began trading on the New York Stock Exchange on June 29, 2017. [read post]
17 Aug 2017, 7:36 am
Gasco had been traded publicly, but was delisted from the New York Stock Exchange, recapitalized and taken private that year. [read post]
16 Aug 2017, 8:27 am
New York Times op-ed piece sparks investigation into broker kickbacks According to reports on Tuesday, Massachusetts securities regulator, William Galvin, launched an investigation into charges that brokers were receiving kickbacks for routing sales orders to certain stock exchanges. [read post]
8 Aug 2017, 3:12 am
The pension giant sued Interactive Corp last year when it attempted to create a new non-voting class of stock that would have given perpetual voting control to the board chair – despite the fact that he owned only 8% of outstanding economic rights. [read post]
6 Aug 2017, 3:12 am
On July 14, Canadian firm Crystallex got a federal court in New York to block China’s Haitong Securities from selling $5 billion in weird Venezuelan bonds initially issued in December; Crystallex would now try to seize the bonds on the theory that they were assets of the republic. [read post]
5 Aug 2017, 10:35 am
The company plans to offer an undisclosed number of shares of common stock and list on the New York Stock Exchange under the ticker symbol NREF. [read post]
4 Aug 2017, 10:03 am
The Fx showcase is open 24 hours per day, 5 days seven days with the most critical world exchanging focuses being situated in London, New York, Tokyo, Zurich, Frankfurt, Hong Kong, Singapore, Paris, and Sydney. [read post]
4 Aug 2017, 6:00 am
But beginning around 2000 house prices seemed to reach for an entirely new equilibrium. [read post]
4 Aug 2017, 6:00 am
But beginning around 2000 house prices seemed to reach for an entirely new equilibrium. [read post]
4 Aug 2017, 5:00 am
By Amy Leisinger, J.D.A Second Circuit panel has affirmed the Southern District of New York’s dismissal of a stockholder’s attempt to recover short-swing insider trading profits obtained on cancellation of put options within six months of writing them by several entities in which Carl Icahn held an ownership interest. [read post]
2 Aug 2017, 3:15 pm
Reportedly, FINRA is one of the censuring entities, along with the Nasdaq Stock Market, the New York Stock Exchange (NYSE), and the Kansas-based Bats Global Markets, acquired by Chicago Board Options Exchange Holdings, owner of the CBOE, in March of this year. [read post]
2 Aug 2017, 7:34 am
ARC New York City REIT Stockholder Meeting Adjourns for a Third Time Concerned about investment losses in ARC New York City REIT? [read post]
2 Aug 2017, 7:18 am
Calamari, Director of the SEC’s New York Regional Office.The SEC’s order finds that Cheung, who lives in Canada and Hong Kong and also goes by Dylon de lu Zhang, violated Sections 17(a)(1) and (3) of the Securities Act of 1933, Sections 10(b), 13(d), and 16(a) of the Securities Exchange Act of 1934, and Rules 10b-5(a) and (c), 13d-1, 13d-2, 16a-2, and 16a-3. [read post]
