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18 May 2009, 3:25 pm
FINRA was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange. [read post]
11 Apr 2010, 7:41 am
McIntosh that recently appeared in the New York Law Journal. [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]
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]
16 Feb 2011, 8:03 pm
The company's shares are listed on the Toronto Stock Exchange (TSX: TRI) and the New York Stock Exchange (NYSE: TRI). [read post]
31 Jul 2012, 10:01 pm
Woodlark Capital LLC is, according to its Securities and Exchange Commission Form D filing, a real estate company based in New York. [read post]
12 Aug 2012, 9:30 pm
Bradford Exploration is, according to its Form D filing with the Securities and Exchange Commission, an oil and natural gas development company based in Buffalo, New York. [read post]
15 Jan 2014, 2:24 pm
As such, they lack the same regulatory oversight as other investments and carry considerably higher risks than stocks sold on a public market like the New York Stock Exchange. [read post]
1 Aug 2022, 9:01 pm
The case took place in the Southern District of New York. [read post]
13 Sep 2010, 1:04 am
Hirsch bought a total of 28,001 shares and warrants through Brio Capital LP, a New York-based company where he is managing partner. [read post]
31 Mar 2023, 6:18 am
., March 28, 2023, Failla, K.).The suit was brought by a shareholder of Knight-Swift Transportation Holdings, a publicly traded company listed on the New York Stock Exchange. [read post]
8 May 2018, 8:21 am
Rather, it said it was formed to “assist the city of New York in cleaning and maintaining the Warren Street Dog Park — a city park. [read post]
19 Mar 2008, 10:05 am
The usual pundits are commenting - Steve Davidoff of M&A Prof Blog and the New York Times Dealbook did us all a service by posting the Bear Stearns - J.P. [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]
16 Aug 2011, 4:00 am
He also paid some of BENHAMOU's expenses, including $4,624.83 in September 2007 for a New York City hotel room for him and his wife. [read post]
16 Aug 2011, 4:00 am
He also paid some of BENHAMOU's expenses, including $4,624.83 in September 2007 for a New York City hotel room for him and his wife. [read post]
30 Oct 2015, 4:00 am
The key findings include: Since 2004, only 56 Herbalife victims in New York have been brave enough to file complaints against the company. [read post]
22 Aug 2012, 7:00 am
Lynch, United States Attorney for the Eastern District of New York, and Janice K. [read post]
24 Apr 2016, 9:57 pm
In exchange for shares of stock in a closely held corporation, defendant agreed to pay the total sum of $1,800,000 in monthly installments over the course of 15 years. [read post]
11 Sep 2023, 5:45 pm
In July 2021, under Camara’s leadership, DISCO became one of just a handful of legal technology companies ever to go public, listing on the New York Stock Exchange. [read post]
