Examples of IPO Underwriter in a sentence
In this regard, the IPO Underwriter Defendants provided detailed presentations to the Issuer Defendants regarding the registration process leading up to the IPO and the expected price performance in aftermarket trading based upon previous companies taken public by these underwriters.
In this regard, the Chief Executive Officer, the Chief Financial Officer and/or other high-ranking Issuer employees worked side by side with representatives of the IPO Underwriter Defendants while visiting with several potential investors in a given city on a daily basis over a two to three week period to promote interest in the IPO.
As required by NASD Conduct Rule 3010(c), each of the IPO Underwriter Defendants had in place compliance procedures so as to better inform itself whether it was acting in the unlawful manner alleged herein.
The Issuer Defendants had numerous interactions and contacts with the IPO Underwriter Defendants prior to the IPO from which they knew or recklessly disregarded that the manipulative and deceptive scheme described herein had taken place.
These presentations were all scheduled by and attended by representatives of the IPO Underwriter Defendants.