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2 Sep 2011, 4:30 am
§ 77r(b)(1)(A), “Covered securities” include securities “listed, or authorized for listing, on the New York Stock Exchange (“NYSE”). [read post]
8 Jan 2018, 3:29 am
This is one of those relatively infrequent challenges to a cash-out merger involving New York-based Delaware corporations that gets litigated in a New York court rather than in Delaware Chancery Court. [read post]
11 May 2007, 12:52 am
Former Comverse GC Sentenced to One Year
New York Law Journal
William Sorin, Comverse Technology's former general counsel, was sentenced Thursday to one year and one day in prison for his role in a stock options backdating scheme. [read post]
26 Dec 2011, 3:00 am
His last message to me was an email forwarding a post he wrote about the New York Court of Appeals' decision last week in the Roni LLC v. [read post]
1 Dec 2009, 5:08 pm
Whether the antifraud provisions of the United States securities laws extend to transnational frauds where: (a) the foreign-based parent company conducted substantial business in the United States, its American Depository Receipts were traded on the New York Stock Exchange and its financial statements were filed with the Securities Exchange Commission (“SEC”); and (b) the claims arose from a massive accounting fraud perpetrated by American… [read post]
8 Feb 2010, 7:16 pm
The following blog update is being provided in response to recent inquiries from blog readers seeking information regarding the ongoing investigation by the Alcala Law Firm on behalf of IMH Secured Loan Fund, LLC investors: On January 15, 2010, Investors Holdings Mortgages, Inc. filed an amended Form S-4 with the Securities Exchange Commission (SEC) seeking member approval to restructure the company into a newly formed Delaware corporation named IMH Financial Corporation with the hope that… [read post]
16 Feb 2021, 12:28 pm
Enlarge / Cardboard boxes made to resemble Amazon packages during a protest outside the home of Amazon Chief Executive Officer Jeff Bezos in New York on Wednesday, Dec. 2, 2020. [read post]
30 Mar 2018, 3:10 am
Securities and Exchange Commission] “Settlement of Lawyer-Driven ‘Merger Tax’ Litigation Stumbles in New York” [Greg Herbers, WLF] “Financial Regulation: The Apotheosis of the Administrative State? [read post]
9 Oct 2007, 3:32 pm
According to the New York Stock Exchange (NYSE) enforcement wing, the violations occurred between July 1, 2003 and Oct 31, 2004. [read post]
22 Jun 2018, 2:31 pm
Although a Delaware corporation, Merrill Lynch’s principal offices are in Bryant Park, New York. [read post]
22 Jun 2018, 2:31 pm
Although a Delaware corporation, Merrill Lynch’s principal offices are in Bryant Park, New York. [read post]
22 May 2019, 3:56 am
Since then, Binance has launched four new projects and is marching ahead with at least one a month as it simultaneously develops a decentralized exchange (DEX) . . . [read post]
24 Dec 2020, 6:57 am
By Amanda Maine, J.D.The SEC has approved an amended proposal by the New York Stock Exchange (NYSE) which will allow companies to raise capital through direct listings without going through the traditional IPO process. [read post]
9 Nov 2014, 9:00 pm
The fellow will be based at NYU Abu Dhabi, and will collaborate closely with CLS and CRISSP researchers in both New York and Abu Dhabi.CRISSP-Abu Dhabi is an interdisciplinary research community comprised of engineering, computer science, and social science faculy, as well as doctoral and post-doc researchers. [read post]
18 Jun 2009, 8:38 am
demand they be traded on exchanges? [read post]
17 Jan 2019, 1:28 pm
Members of the audit committee with financial expertise may not be the right people to deal with all sorts of risks, notwithstanding the New York Stock Exchange manual assigning risk evaluation to that committee (a requirement the panel says is typically ignored). [read post]
17 Jan 2019, 1:28 pm
Members of the audit committee with financial expertise may not be the right people to deal with all sorts of risks, notwithstanding the New York Stock Exchange manual assigning risk evaluation to that committee (a requirement the panel says is typically ignored). [read post]
9 Jul 2018, 3:22 am
A valuation proceeding is a special kind of lawsuit in which the owners of a business litigate the “value” (the relevant standard under New York’s Partnership Law) or “fair value” (the standard under the New York Business Corporation Law and Limited Liability Company Law) of a partnership, stock, or membership interest in a business for the purpose of a potential buyout or liquidation of that owner’s interest.… [read post]
15 Dec 2008, 11:48 am
Saddled with debt, Toronto-based Nortel's stock price has sunk to 40 cents and the company is being urged to file for bankruptcy.The New York Stock Exchange has reportedly told Nortel that the telecommunications company faces de-listing if it cannot bring its stock price above $1 in the next six months.Nortel has turned to Cleary Gottlieb Steen & Hamilton bankruptcy partner James Bromley to advise it on a potential Chapter 11 filing.… [read post]
11 Sep 2008, 1:47 am
The amended complaint also alleges that Jobs himself received backdated options that were later cancelled in exchange for restricted stock. [read post]
