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1 Mar 2016, 11:40 am
The validity of the employee choice doctrine was recently affirmed by a New York State court applying Delaware law. [read post]
1 Mar 2016, 11:40 am
The validity of the employee choice doctrine was recently affirmed by a New York State court applying Delaware law. [read post]
1 Mar 2016, 7:32 am
The SEC fined the New York Stock Exchange and its parent NYSE Euronext in 2012 for violating Regulation NMS. [read post]
25 Feb 2016, 10:45 am
I pass on free news and pay for the New York Times, Wall Street Journal, and Business Week. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
22 Feb 2016, 4:36 pm
However, interest in purchasing this type of insurance did not develop until 1939, when in New York Dock Co. v. [read post]
22 Feb 2016, 3:27 am
I’ve twice before written about earlier legal skirmishes between the two antagonists (here and here), 50/50 shareholders of a New York close corporation that holds two-thirds of the shares in another New York corporation that, in turn, holds a 90% stock interest in a Massachusetts corporation that owns and operates a car wash/service station in that state. [read post]
22 Feb 2016, 3:27 am
I’ve twice before written about earlier legal skirmishes between the two antagonists (here and here), 50/50 shareholders of a New York close corporation that holds two-thirds of the shares in another New York corporation that, in turn, holds a 90% stock interest in a Massachusetts corporation that owns and operates a car wash/service station in that state. [read post]
21 Feb 2016, 10:17 am
Last November, in a settlement with New York Attorney General Eric T. [read post]
12 Feb 2016, 11:29 am
Harman is listed on the New York Stock Exchange (symbol HAR). [read post]
9 Feb 2016, 10:01 pm
The civil suits claim Chipotle violated the Securities Exchange Act by making false and/or misleading statements. [read post]
1 Feb 2016, 3:46 am
In this case, the tussle over the shape of an advisory panel has set up a behind-the-scenes tiff between the country’s top markets regulator – the Securities and Exchange Commission — on the one side, and two of the country’s biggest exchanges — the New York Stock Exchange, and Nasdaq – on the other. [read post]
29 Jan 2016, 11:54 am
By Matthew Garza, J.D.The SEC has ordered a New York investment adviser and its Toronto-based manager to return $2.877 million to investors after finding that the manager lied about the performance of the fund and deviated from the fund’s established strategy by plowing most of investor funds into a single penny stock. [read post]
28 Jan 2016, 11:46 am
Smith Jr. of the New York office. [read post]
21 Jan 2016, 7:41 am
Mesabi Trust was founded in 1919 and is based in New York, New York. [read post]
18 Jan 2016, 3:19 pm
Its shares traded on the New York Stock Exchange (“NYSE”) under the ticker symbol ACI until the NYSE suspended trading of its common stock and initiated proceedings to delist the stock on January 11, 2016. [read post]
17 Jan 2016, 7:47 am
Recently, in simultaneous actions The Securities and Exchange Commission (SEC) and the United States Attorney for the Southern District of New York working with the Federal Bureau of Investigation (FBI) have filed charges against the foregoing individuals alleging that Durante and his co-conspirators defrauded more than 100 investors of at least $15,000,000. [read post]
14 Jan 2016, 5:10 pm
Additionally, on January 11, 2016, the New York City Comptroller issued a press release announcing that it had filed 72 proxy access shareholder proposals for the 2016 proxy season. [read post]
14 Jan 2016, 11:12 am
Riely of the New York Regional Office with substantial assistance provided by John L. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
