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Calpers Class Action Lawsuit Against NYSE Specialists
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK x CALIFORNIA PUBLIC EMPLOYEES’ : Civil Action No. RETIREMENT SYSTEM, On Behalf of Itself : and All Others Similarly Situated, : COMPLAINT FOR VIOLATION OF THE : SECURITIES EXCHANGE ACT OF 1934 Plaintiff, : : vs. : : THE NEW YORK STOCK EXCHANGE, : INC., LaBRANCHE & CO., INC., : LaBRANCHE & CO. LLC, GEORGE M.L. : LaBRANCHE, IV, BEAR WAGNER : SPECIALISTS LLC, SPEAR, LEEDS & : KELLOGG SPECIALISTS LLC, SPEAR, : LEEDS & KELLOGG, LP, THE GOLDMAN : SACHS GROUP, INC., VAN DER MOOLEN : SPECIALISTS USA, LLC, VAN DER : MOOLEN HOLDING N.V., FLEETBOSTON : FINANCIAL CORPORATION, FLEET : SPECIALIST, INC., PERFORMANCE : SPECIALIST GROUP, LLC, : SUSQUEHANNA SPECIALISTS, INC. and : SUSQUEHANNA INTERNATIONAL : GROUP, LLP, : : Defendants. : : x JURY TRIAL DEMANDED This writing/publication is a creative work fully protected by all applicable copyright laws, as well as by misappropriation, trade secret, unfair competition and other applicable laws. The authors of this work have added value to the underlying factual materials herein through one or more of the following: unique and original selection, coordination, expression, arrangement, and classification of the information. No copyright is claimed in the text of statutes, regulations, and any excerpts from analysts’ reports or articles quoted within this work. Copyright © 2003 by William S. Lerach and Milberg Weiss Bershad Hynes & Lerach LLP. William S. Lerach and Milberg Weiss Bershad Hynes & Lerach LLP will vigorously defend all of their rights to this writing/publication. All rights reserved – including the right to reproduce in whole or in part in any form. Any reproduction in any form by anyone of the material contained herein without the permission of William S. Lerach and Milberg Weiss Bershad Hynes & Lerach LLP is prohibited. -
Vector Group Annual Report 2021
Vector Group Annual Report 2021 Form 10-K (NYSE:VGR) Published: March 1st, 2021 PDF generated by stocklight.com SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _____________________________________________ Form 10-K _____________________________________________ ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Fiscal Year Ended December 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 _____________________________________________ VECTOR GROUP LTD. (Exact name of registrant as specified in its charter) _____________________________________________ Delaware 1-5759 65-0949535 (State or other jurisdiction of incorporation Commission File Number (I.R.S. Employer Identification No.) incorporation or organization) 4400 Biscayne Boulevard Miami, Florida 33137 305-579-8000 (Address, including zip code and telephone number, including area code, of the principal executive offices) _____________________________________________ Securities registered pursuant to Section 12(b) of the Act: Title of each class: Trading Symbol(s) Name of each exchange on which registered: Common stock, par value $0.10 per share VGR New York Stock Exchange Securities registered pursuant to Section 12(g) of the Act: None Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. þ Yes o No Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act. o Yes þ No Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. -
Dimensional Investment Group
SECURITIES AND EXCHANGE COMMISSION FORM N-Q Quarterly schedule of portfolio holdings of registered management investment company filed on Form N-Q Filing Date: 2008-04-29 | Period of Report: 2008-02-29 SEC Accession No. 0001104659-08-027772 (HTML Version on secdatabase.com) FILER DIMENSIONAL INVESTMENT GROUP INC/ Business Address 1299 OCEAN AVE CIK:861929| IRS No.: 000000000 | State of Incorp.:MD | Fiscal Year End: 1130 11TH FLOOR Type: N-Q | Act: 40 | File No.: 811-06067 | Film No.: 08784216 SANTA MONICA CA 90401 2133958005 Copyright © 2012 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-6067 DIMENSIONAL INVESTMENT GROUP INC. (Exact name of registrant as specified in charter) 1299 Ocean Avenue, Santa Monica, CA 90401 (Address of principal executive offices) (Zip code) Catherine L. Newell, Esquire, Vice President and Secretary Dimensional Investment Group Inc., 1299 Ocean Avenue, Santa Monica, CA 90401 (Name and address of agent for service) Registrant's telephone number, including area code: 310-395-8005 Date of fiscal year end: November 30 Date of reporting period: February 29, 2008 ITEM 1. SCHEDULE OF INVESTMENTS. Dimensional Investment Group Inc. Form N-Q February 29, 2008 (Unaudited) Table of Contents Definitions of Abbreviations and Footnotes Schedules of Investments U.S. Large Cap Value Portfolio II U.S. Large Cap Value Portfolio III LWAS/DFA U.S. High Book to Market Portfolio DFA International Value Portfolio Copyright © 2012 www.secdatabase.com. -
Infineon Technologies AG Securities Litigation 04-CV-04156-Plaintiffs
Case 5:04-cv-04156-JW Document 69-1 Filed 02/14/2006 Page 1 of 5 1 LERACH COUGHLIN STOIA GELLER RUDMAN & ROBBINS LLP 2 JOHN K. GRANT (169813) SYLVIA SUM (207511) 3 100 Pine Street, Suite 2600 San Francisco, CA 94111 4 Telephone: 415/288-4545 415/288-4534 (fax) 5 [email protected] [email protected] 6 – and – WILLIAM S. LERACH (68581) 7 655 West Broadway, Suite 1900 San Diego, CA 92101 8 Telephone: 619/231-1058 619/231-7423 (fax) 9 [email protected] 10 MURRAY, FRANK & SAILER LLP BRIAN P. MURRAY 11 ERIC J. BELFI 275 Madison Avenue, Suite 801 12 New York, NY 10016 Telephone: 212/682-1818 13 212/682-1892 (fax) 14 Co-Lead Counsel for Plaintiffs 15 [Additional counsel appear on signature page.] 16 UNITED STATES DISTRICT COURT 17 NORTHERN DISTRICT OF CALIFORNIA 18 SAN JOSE DIVISION 19 In re INFINEON TECHNOLOGIES AG ) Master File No. C-04-4156-JW SECURITIES LITIGATION ) 20 ) CLASS ACTION ) 21 This Document Relates To: ) PLAINTIFFS’ NOTICE OF SUBSEQUENT ) AUTHORITY 22 ALL ACTIONS. ) ) 23 24 25 26 27 28 Case 5:04-cv-04156-JW Document 69-1 Filed 02/14/2006 Page 2 of 5 1 Pursuant to Local Rule 7-3(d), plaintiffs’ counsel hereby brings to the Court’s attention the 2 following judicial opinions published after the date Plaintiffs’ Opposition to Defendants’ Motions to 3 Dismiss the Consolidated Complaint was served. For the Court’s convenience, copies of the 4 opinions are attached hereto. 5 1. Brumbaugh v. Wave Sys. Corp., __ F. -
Vector Group Ltd. Investor Presentation
Vector Group Ltd. Investor Presentation May 2015 Disclaimer This document and any related oral presentation does not constitute an offer or invitation to subscribe for, purchase or otherwise acquire any equity securities or debt securities instruments of Vector Group Ltd. (“Vector” or “the Company”) and nothing contained herein or its presentation shall form the basis of any contract or commitment whatsoever. The distribution of this document and any related oral presentation in certain jurisdictions may be restricted by law and persons into whose possession this document or any related oral presentation comes should inform themselves about, and observe, any such restriction. Any failure to comply with these restrictions may constitute a violation of the laws of any such other jurisdiction. The information contained herein does not constitute investment, legal, accounting, regulatory, taxation or other advice and the information does not take into account your investment objectives or legal, accounting, regulatory, taxation or financial situation or particular needs. You are solely responsible for forming your own opinions and conclusions on such matters and the market and for making your own independent assessment of the information. You are solely responsible for seeking independent professional advice in relation to the information and any action taken on the basis of the information. The following presentation may contain "forward-looking statements,” including any statements that may be contained in the presentation that reflect -
VECTOR GROUP LTD Form 8-K Current Event Report Filed 2021-08
SECURITIES AND EXCHANGE COMMISSION FORM 8-K Current report filing Filing Date: 2021-08-05 | Period of Report: 2021-08-04 SEC Accession No. 0000059440-21-000046 (HTML Version on secdatabase.com) FILER VECTOR GROUP LTD Mailing Address Business Address 4400 BISCAYNE 4400 BISCAYNE CIK:59440| IRS No.: 650949535 | State of Incorp.:DE | Fiscal Year End: 1231 BOULEVARD BOULEVARD Type: 8-K | Act: 34 | File No.: 001-05759 | Film No.: 211146358 10TH FLOOR 10TH FLOOR SIC: 2111 Cigarettes MIAMI FL 33137 MIAMI FL 33137 3055798000 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2021 VECTOR GROUP LTD. (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 1-5759 65-0949535 (Commission File Number) (I.R.S. Employer Identification No.) 4400 Biscayne Boulevard Miami Florida 33137 (Address of Principal Executive Offices) (Zip Code) (305) 579-8000 (Registrant’s Telephone Number, Including Area Code) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities Registered Pursuant to 12(b) of the Act: Title of each class: Trading Name of each exchange Symbol(s) on which registered: Common stock, par value $0.10 per share VGR New York Stock Exchange Copyright © 2021 www.secdatabase.com. -
Vector Group Ltd
Vector Group Ltd. Annual Report 2018 Form 10-K (NYSE:VGR) Published: March 1st, 2018 PDF generated by stocklight.com SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _____________________________________________ Form 10-K _____________________________________________ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For The Fiscal Year Ended December 31, 2017 _____________________________________________ VECTOR GROUP LTD. (Exact name of registrant as specified in its charter) _____________________________________________ Delaware 1-5759 65-0949535 (State or other jurisdiction of incorporation Commission File Number (I.R.S. Employer Identification No.) incorporation or organization) 4400 Biscayne Boulevard, Miami, Florida 33137 (Address of principal executive offices) (Zip Code) (305) 579-8000 (Registrant’s telephone number, including area code) _____________________________________________ Securities registered pursuant to Section 12(b) of the Act: Name of each exchange on which Title of each class registered Common Stock, par value $.10 per share New York Stock Exchange Securities registered pursuant to Section 12(g) of the Act: None Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. þ Yes o No Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act. o Yes þ No Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. -
Market Professionals 2
September 2002 Market 2 Professionals >> Local news >> Migration Editorial UK: workshops held Clearing 21® V4 in in London testing phase in Dialogue and synergy: top priorities Portugal: three ISVs Amsterdam for the cash business committed to big Amsterdam line bang migration in derivatives market Portugal update Euronext's cash business line has this year intensified its >> ISVs dialogue with market Euronext first to go >> Events professionals – members, ISVs and vendors live on Bloomberg's – in order to enhance customer satisfaction new STP solution Click here to see the and to adapt to the international scope of events table Euronext's cash market. ISV validation for Switch contributes to Both the Market Operations and Customer acceleration of Technical Support (CTS) departments now Amsterdam migration >> Technology offer help-desk services through a multi- lingual team and local contact people. The Dissemination of the Quality of Cash Markets department has set Volume Weighted >> Members up a hotline to answer brokers’ questions Average Price about the liquidity provider scheme, and Liquidity provider (VWAP) account managers have been assigned to status: taking stock each operational liquidity provider. after one year Customer Technical Support – playing a Meetings with users of each market segment Euronext welcomes pivotal role for are organised regularly to discuss product Euronext clients newcomers! developments or specific topics. This close co-operation and intensified dialogue International broker between Euronext and market professionals Bulltick plans to has already spawned new projects, such as become a member of >> Products the implementation of a new trading platform Euronext Launch of for warrants and the dissemination of the NextWarrants, Volume Weighted Average Price mechanism, now under review with market regulators. -
Sa Funds Investment Trust
SECURITIES AND EXCHANGE COMMISSION FORM N-Q Quarterly schedule of portfolio holdings of registered management investment company filed on Form N-Q Filing Date: 2007-11-29 | Period of Report: 2007-09-30 SEC Accession No. 0001104659-07-086055 (HTML Version on secdatabase.com) FILER SA FUNDS INVESTMENT TRUST Mailing Address Business Address 3055 OLIN AVENUE SUITE 3055 OLIN AVENUE SUITE CIK:1075065| IRS No.: 770216379 | State of Incorp.:DE | Fiscal Year End: 0630 2000 2000 Type: N-Q | Act: 40 | File No.: 811-09195 | Film No.: 071275109 SAN JOSE CA 95128 SAN JOSE CA 95128 408-260-3100 Copyright © 2012 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09195 SA Funds Investment Trust (Exact name of registrant as specified in charter) 3055 Olin Avenue, Suite 2000 San Jose, California 95128 (Address of principal executive offices) (Zip code) Steven K. McGinnis, Esq. Chief Legal Officer SA Funds Investment Trust 3055 Olin Ave., Suite 2000 San Jose, CA 95128 (Name and address of agent for service) Copies to: Julie Tedesco R. Darrell Mounts Senior Vice President and Senior Counsel Counsel to the Trust State Street Bank and Trust Company Kirkpatrick & Lockhart Preston Gates Ellis LLP 2 Avenue de Lafayette, 6th Floor 1601 K Street, N.W. Boston, Massachusetts 02111 Washington, D.C. 20006 Registrants Telephone Number, Including Area Code: (408) 260-3100 Date of fiscal year end: June 30 Date of reporting period: September 30, 2007 Item 1. -
Onderzoeksverslag Van Der Moolen
VERSLAG VAN BEVINDINGEN naar aanleiding van het onderzoek naar het beleid en de gang van zaken van de naamloze vennootschap Van der Moolen Holding N.V., als opgedragen door de Ondernemingskamer van het Gerechtshof Amsterdam bij beschikking van 5 juli 2010, kenmerk 200.051.512/01 OK Onderzoekers: S. Hepkema C.J.M. Scholtes Afgegeven ter griffie van het Gerechtshof te Amsterdam op 13 mei 2011 INHOUDSOPGAVE Onderwerp Pagina 1. Inleiding ..........................................................................................................................................1 1.1 Opzet verslag ................................................................................................................1 1.2 Werkwijze en verloop van het onderzoek ......................................................................2 1.3 Van der Moolen Holding N.V. ......................................................................................5 2. Strategie VDM...............................................................................................................................15 2.1 Inleiding......................................................................................................................15 2.2 Curvalue .....................................................................................................................17 2.3 Online Trader..............................................................................................................30 2.4 Avalon en aanverwante zaken .....................................................................................41 -
09.08.10.Van Der Moolen
CONTACT | Media: CONTACT | Investor Relations: +31.20.550.4488 (Amsterdam), +32.2.509.1392 (Brussels) +1.212.656.5700 (New York) +351.217.900.029 (Lisbon), +44.20.7379.2789 (London) +33.1.49.27.58.60 (Paris) +1.212.656.2411 (New York), +33.1.49.27.11.33 (Paris) Listing measure Van der Moolen Holding N.V. Amsterdam, 10 August 2009 – NYSE Euronext hereby announces that as from 11 August 2009 prices and volumes relating to the ordinary shares of Van der Moolen Holding N.V. listed on Euronext Amsterdam will be reported in the special section for securities subject to a listing measure, with reference to the press release Van der Moolen Holding N.V. issued on 10 August. This measure is to conform to Rule A – 2706/1 Euronext Rule Book, Book II and Euronext Announcement 2009-001. This measure will endure for a maximum of one year. If the listing measure has not been lifted by the end of this period NYSE Euronext will delist the ordinary shares of Van der Moolen Holding N.V. For more information please contact: NYSE Euronext Communications Amsterdam: +31 (0)20 550 4488 NYSE Euronext (NYX) is a leading global operator of financial markets and provider of innovative trading technologies. The company's exchanges in Europe and the United States trade equities, futures, options, fixed-income and exchange-traded products. With more than 8,000 listed issues, NYSE Euronext's equities markets -- the New York Stock Exchange, Euronext, NYSE Arca and NYSE Amex -- represent nearly 40 percent of the world's equities trading, the most liquidity of any global exchange group. -
NYSE VGR 2011.Pdf
April 5, 2012 Dear Fellow Stockholder, Vector Group performed well in 2011 as a result of strong execution of our business plan. During the year, we profitably grew our Liggett tobacco business and our 50%-owned Douglas Elliman real estate business performed steadily. We achieved our primary goals for 2011, to continue to increase market share by focusing on our Pyramid cigarette brand and to increase profits. Our tobacco business grew its market share during the year and Pyramid is now the nation’s sixth-largest brand. We also implemented initiatives to support margin growth, which resulted in increased operating income. We are pleased with Vector Group’s recent performance and believe we are well positioned to capitalize on this momentum in 2012. Overall Financial Results Vector Group’s 2011 revenues increased by approximately 6.6% from the prior year to $1.13 billion. We recorded operating income of $143.3 million in 2011, compared to $111.3 million in 2010. Adjusted operating income for 2010, excluding litigation judgments and settlement charges, was $130.5 million. Thus, adjusted operating income increased 10% in 2011. Additionally, our liquidity remains strong, as cash and cash equivalents were approximately $240.9 million and we held investment securities and partnership interests with a fair market value of approximately $100.5 million at December 31, 2011. Further, the Company continued its long-standing track record of paying a cash dividend of $0.40 per share per quarter, or $1.60 per year, as well as an annual stock dividend of 5% for the 13th consecutive year.