Search for: "New York Stock Exchange"
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5 May 2010, 2:21 pm
Brian Baird of Washington and Louise Slaughter of New York, would prohibit lawmakers from trading in financial markets based on nonpublic information they learn on the job. [read post]
22 Feb 2011, 1:49 am
Meanwhile, in 2007, Democrat Charles Schumer and Iconoclast Michael Bloomberg called for reform, noting that our legal system was choking New York's competitiveness in the financial industry, and Congress responded with Dodd-Frank and the Obama administration pushed for a rollback of Supreme Court decisions reducing the scope of the abusiveness of the securities laws—even as the New York Stock Exchange finds it needs German help to… [read post]
16 Dec 2011, 4:05 pm
Ex-Fannie Mae, Freddie Mac execs charged with fraud, USA Today/AP, December 16, 2011 SEC Charges Former Fannie Mae and Freddie Mac Executives with Securities Fraud, SEC, December 16, 2011 More Blog Posts: Former US Treasury Secretary Henry Paulson Told Hedge Funds About Fannie Mae and Freddie Mac Bailouts in Advance, Institutional Investor Securities Blog, November 30, 2011 Morgan Keegan Settles Subprime Mortgage-Backed Securities Charges for $200M, Stockbroker Fraud Blog, June 29, 2011 Freddie… [read post]
3 Apr 2012, 12:46 am
However, only US persons and those that bought their Converium securities on any exchange were allowed to participate in the class, which was certified by the United States District Court for the Southern District of New York. [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]
5 Aug 2008, 4:03 am
In an important decision that puts up a significant roadblock to the criminalization of Wall Street practices (and remarkably cites more civil than criminal precedents), the Court holds in Finnerty that profiting on superior information and other instances of "financial unfairness" - even if they involve violations of New York Stock Exchange rules - do not necessarily constitute securities fraud. [read post]
29 May 2019, 2:19 pm
For almost 30 years, we’ve worked with thousands of investors to help them get back their losses from investment fraud through Financial Industry Regulatory Authority (FINRA) arbitration, the American Arbitration Association (AAA), the New York Stock Exchange (NYSE), in private arbitration, and in Federal and state courts. [read post]
23 Mar 2010, 6:15 am
Limited Liability of the shareholders (so that when the company is insolvent, they only owe the money that they subscribed for in shares) Transferable Shares (usually on a listed exchange, such as the London Stock Exchange, New York Stock Exchange or Euronext in Paris) Delegated Management, in other words, control of the company placed in the hands of a board of directors Investor Ownership, ownership by shareholders. [read post]
9 May 2012, 6:35 am
"That structuring included the creation of a Delaware corporation and Delaware LLC to complete the acquisition, the distribution of the shares of the Delaware corporation to Justice's shareholders, the listing of the Delaware corporation's shares on the New York Stock Exchange and the dissolution of Justice following the consummation of the transaction. [read post]
9 Jul 2007, 8:03 am
In addition, the vote at CVS/Caremark has been cited by CtW, the Council of Institutional Investors (CII), and other investor groups that are lobbying for a New York Stock Exchange (NYSE) proposal to bar broker votes from board elections. [read post]
16 Apr 2010, 10:59 am
Accuses Goldman Sachs of Fraud in Mortgage Deals [New York Times] [read post]
25 Oct 2019, 6:43 am
In fact, many companies listed on the New York Stock Exchange sell for prices greatly exceeding the stock’s net value per share price. [read post]
27 Feb 2014, 3:34 am
As reported in these articles from the NYT and WSJ, after increasing opposition from New York's comptroller (who runs five pension funds), CalPERS and even ISS, Mr. [read post]
12 Oct 2007, 9:22 am
In letters to the Securities and Exchange Commission, individual and institutional investors voiced opposition to any new limits on non-binding shareholder proposals. [read post]
24 Mar 2008, 12:32 am
The New York Times' Dealbook cites a Dealogic report which states that last year, there were 66 initial public offerings for SPACs, raising a total of $12 billion. [read post]
30 Aug 2011, 6:38 am
However, it is unfortunate that the Exchange chose a minimum to be raised (the Nasdaq initially did not), and also that it chose the same minimum amount to be raised in this exemption as its affiliate, the New York Stock Exchange (NYSE). [read post]
29 Jun 2010, 5:49 am
Vivendi had also sold shares on the New York Stock Exchange. [read post]
15 Jul 2009, 5:32 am
"In an interview with Fortune, Iati recounted how these proprietary trading companies are vying to locate as close to the New York Stock Exchange's new multi-million-dollar data center -- being built in Mahwah, N.J. and set to open in 2010 -- as they can to get the information about trading activity as quickly as possible. [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]
16 Feb 2007, 6:17 am
But more deeply, I think, Americans have so completely accepted the notion of market valuation that (with the notable exception of John Edwards and a few other economic populists) we have lost the vocabulary with which to make or even understand the argument that an army sergeant deserves to be paid more than one three thousandth of what the head of the New York Stock Exchange earns. [read post]
