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14 Apr 2015, 4:50 pm
Securities and Exchange Commission (SEC) in March 2015 regarding Fenway’s treatment of fees and expenses incurred by its sponsored funds’ portfolio companies. [read post]
31 Mar 2015, 5:12 am
According to the SEC’s complaint filed in federal court in Manhattan, Macquarie Capital was the lead underwriter on a secondary public stock offering in 2010 by Puda Coal, which traded on the New York Stock Exchange at the time and purported to own a coal company in the People’s Republic of China (PRC). [read post]
23 Mar 2015, 2:16 am
Walmex’s American Depositary Receipts trade on the New York Stock Exchange. [read post]
20 Mar 2015, 8:00 am
Commodities Exchange and transactions in U.S. securities on the New York Stock Exchange. [read post]
20 Mar 2015, 6:00 am
A rent-regulated apartment could be either rent controlled or rent stabilized and is generally found in New York City. [read post]
13 Mar 2015, 3:16 am
New York’s “Blue Sky Law,” The Martin Act, prohibits “[a]ny fraud, deception, concealment, suppression, false pretense or fictitious or pretended purchase or sale” in “the issuance, distribution, exchange, sale, negotiation or purchase … of any securities or commodities. [read post]
12 Mar 2015, 8:58 am
Then I dressed and off we flew to New York to meet some girls. [read post]
12 Mar 2015, 4:31 am
The proof is in the penalty, and the stock price... [read post]
11 Mar 2015, 7:00 am
On those statements Lindemann allegedly fraudulently represented that AWS was a member of the New York Stock Exchange (NYSE) and the Securities Investor Protection Corporation (SIPC), a corporation that guarantees the return of missing customer property up to a certain amount. [read post]
6 Mar 2015, 2:57 pm
Along with submitting the AWC, Citigroup consented to censure and a fine of $3,000,000—paid jointly to FINRA and the New York Stock Exchange (“NYSE”). [read post]
2 Mar 2015, 11:06 am
Indeed, Just days ago the offices of HiRise Engineering were raided by the New York attorney general's office, which is conducting a criminal investigation into HiRise as well as the insurance companies that hired them. [read post]
2 Mar 2015, 7:00 am
Founded in 1947, the Compañía Panameña de Aviación (Copa) is now the flagship airline of the country and one of the most prominent airlines in the expanding, yet still underserved, Latin America region.Following the 2005 purchase of AeroRepublica in Colombia and the company’s initial public offering on the New York Stock Exchange, making Copa the third Latin American airline to list on the exchange, growth has been… [read post]
19 Feb 2015, 6:14 am
In New York, for example, both public and private employers are prohibited under state law from disciplining or taking retaliatory action against any employee who has disclosed or threatened to disclose policies or practices that violate the law or that otherwise threaten public health or safety. [read post]
15 Feb 2015, 2:29 pm
Barysh were specialists working on the American Stock Exchange (AMEX). [read post]
11 Feb 2015, 11:31 am
District Court Dismisses Market Manipulation Claim Against Dweck The United States District Court for the Southern District of New York dismissed the market manipulation claim against Dweck, see Fezzani v. [read post]
9 Feb 2015, 6:50 am
These over the counter securities can be thinly traded or closely held companies that often do not meet the minimum listing requirements for trading on a national securities exchange, such as the New York Stock Exchange. [read post]
3 Feb 2015, 4:32 am
Alibaba completed its IPO listing its American Depositary Shares on the New York Stock Exchange on September 19, 2014. [read post]
27 Jan 2015, 2:25 pm
The round was led by DFJ Growth, but also included three mainstream financial institutions: The New York Stock Exchange, a subsidiary of USAA, and BBVA. [read post]
27 Jan 2015, 12:14 pm
Last week, a New York federal judge struck another blow to prosecutorial efforts to secure insider trading convictions in tipper-tippee cases. [read post]
26 Jan 2015, 10:42 am
The United States District Court for the Southern District of New York held that the alleged omission was actionable because Morgan Stanley had a duty under Item 303 to disclose the risks from the trade in its 2007 Form 10-Q filings. [read post]
