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The NonMaterial Android in the Henhouse: Can the EC Trust Google to Actually Implement a Settlement?
25 Jul 2012, 10:34 am
That’s the good news. [read post]
8 Jun 2007, 9:58 am
The bid was defeated when the New York Stock Exchange ruled that the dissidents had not physically mailed proxy cards to enough shareholders to make it a legitimately contested election. [read post]
26 Oct 2011, 7:46 am
Douglas Healey for The New York Times Rajat Gupta at his home in Westport, Conn., on Wednesday morning. [read post]
18 May 2017, 7:45 am
The company has been in discussions with the New York Stock Exchange (NYSE) to keep its current listing through the restructuring process. [read post]
25 Dec 2017, 1:15 pm
The ATBCOIN Lawsuit On December 21, 2017, a plaintiff investor filed a securities class action lawsuit in the Southern District of New York against ATBCOIN LLC and its two co-founders. [read post]
10 Jan 2024, 12:35 pm
The SEC’s order finds that SAP, whose American Depositary Shares are listed on the New York Stock Exchange, violated the FCPA by employing third-party intermediaries and consultants from at least December 2014 through January 2022 to pay bribes to government officials to obtain business with public sector customers in the seven countries mentioned above. [read post]
31 Oct 2023, 11:41 am
” The SEC’s complaint, filed in the Southern District of New York, alleges that SolarWinds and Brown violated the antifraud provisions of the Securities Act of 1933 and of the Securities Exchange Act of 1934; SolarWinds violated reporting and internal controls provisions of the Exchange Act; and Brown aided and abetted the company’s violations. [read post]
8 Sep 2022, 6:39 am
These brokers were located in the firm’s Melville, New York and Boca Raton, Florida offices. [read post]
4 Jun 2019, 10:24 am
The common equity of the combined company is currently expected to be listed on the New York Stock Exchange in the fourth quarter of 2019, subject to final board approval and “market conditions”. [read post]
10 Oct 2018, 12:58 pm
The arbitration was first filed with the National Association of Securities Dealers (NASD) in November of 2003, which predates the entity’s merger with the enforcement and arbitration arm of the New York Stock Exchange to form FINRA. [read post]
4 Feb 2008, 12:09 am
$21,000 Award Upheld Against Attorney Who Faxed Unsolicited Ads
New York Law Journal
A $21,000 award against a lawyer who "knowingly" violated a prohibition against faxing unsolicited ads has been upheld by a divided New York appeals panel. [read post]
19 Mar 2010, 3:02 am
CIBC is a Canadian bank whose shares are traded on the New York and Toronto stock exchanges. [read post]
6 Feb 2009, 8:06 pm
The "best little whorehouse on Wall Street" was located just a few blocks from the New York Stock Exchange, in apartment 3A at 136 William Street. [read post]
9 Jan 2009, 10:56 am
Companies that have received the resolution include Aetna, American Express, AMR, Bank of New York Mellon, Becton Dickinson, Delta Airlines, Goldman Sachs, Home Depot, Loews, Safeway, and U.S. [read post]
17 Mar 2011, 10:06 am
” Minor most recently served as chief of the New Jersey Attorney General’s securities bureau and previously worked in the Investor Protection Bureau during the tenure of former New York Attorney General Eliot Spitzer from 2002 to 2004, was director & enforcement counsel at the Philadelphia Stock Exchange from 2004 to 2005 and was senior counsel at the Financial Industry Regulatory Authority, or Finra, from 2005 to 2009. [read post]
10 Aug 2007, 11:34 am
Countrywide fell $1.76 to $26.90 at 12:35 p.m. in New York Stock Exchange composite trading, after reaching $24.71 earlier today. [read post]
13 Oct 2009, 2:41 am
As noted in a prior post (here), trial in the Vivendi securities class action lawsuit began last week in the Southern District of New York. [read post]
17 Apr 2023, 7:03 am
“Roshan” Perera was reportedly arraigned on a 16-count indictment charging him with securities fraud, investment advisor fraud, wire fraud, and money laundering, in connection with a scheme to induce an investor to purchase stock in companies that traded on the NASDAQ and New York Stock Exchange (NYSE). [read post]
29 Apr 2022, 4:00 am
Supreme Court justices and federal judges to tougher disclosure requirements for their financial holdings and stock trades passed the House in a rare show of bipartisanship. [read post]
16 Nov 2018, 1:16 am
Dentsply Siorna, Inc. et al (County of New York; filed June 7, 2018.) [read post]
