United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 81
Page 610
... December 9 and December 31 , 1993 , Wolf Co. sold 690,135 shares of Of Counsel common stock and 696,740 Of Counsel warrants to its retail customers for a total profit of $ 2,580,239 . From December 16 to December 31 , 1993 , Hibbard ...
... December 9 and December 31 , 1993 , Wolf Co. sold 690,135 shares of Of Counsel common stock and 696,740 Of Counsel warrants to its retail customers for a total profit of $ 2,580,239 . From December 16 to December 31 , 1993 , Hibbard ...
Page 712
... December 22 , 1992 , a second meeting of Pioneer and First Hawaiian executives was held during which specific issues relating to the proposed merger were discussed , including employment agree- ments , stock options , accounting and due ...
... December 22 , 1992 , a second meeting of Pioneer and First Hawaiian executives was held during which specific issues relating to the proposed merger were discussed , including employment agree- ments , stock options , accounting and due ...
Page 713
... December of 1992 Eng used some of the proceeds to trade in the commodity futures market . Over a two - week period in December 1992 , Eng used most of the remaining balance of the loan to purchase 2,000 shares of Pioneer stock , using ...
... December of 1992 Eng used some of the proceeds to trade in the commodity futures market . Over a two - week period in December 1992 , Eng used most of the remaining balance of the loan to purchase 2,000 shares of Pioneer stock , using ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
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Common terms and phrases
Act Rel action aff'd agreement appeal Applicants asserts broker broker-dealer capital CBOE CBOT Century Energies Commission Commissioner Committee common stock compliance conduct customers dealer December decision denied determined disciplinary disclosure DJTA DJUA e prime electric engaged England Elec FERC filed findings firm Firm's funds futures contracts hearing holding company imposed interest investment adviser investors issue Kirkpatrick law judge margin market maker markups merger Merrill Lynch Meseck Monroe Parker NASD Rules NASD's Nasdaq NationsBank NationsSecurities NYSE offering operations Paine Webber participants person Potts proceeding proposed purchase pursuant record registered representative repurchase agreements request reset responsible Revcon sanctions SCCP scienter SEC Docket Section Section 10(b Securities Exchange Act securities laws Sensormatic shares South Beloit statements subsidiary Term Trusts testified trading transactions utility violation Wolny WRG's Zubkis